Sr Auditor (AML)

Job Description

Senior Auditor  

Performs high quality, risk-focused fieldwork, in accordance with Internal Audit policies, methodologies, and standards in order to identify meaningful issues, risks and other exposures in the area of the company being audited.  The position may require specialist skills including AML, (e.g., KYC, AML Surveillance, Economic Sanctions, Anti-Corruption, etc.). Legal, Compliance or Fraud, as the auditor is being hired for a targeted role.  Shadowing and deputizing for Audit Senior, in preparation for managing audit projects and conducting more complex audits.  Tests financial, operational and other processes as per Audit procedures. Creates and maintains accurate and clear work documents. Completes tasks efficiently (on time, on budget, accurately). Learns new businesses, processes and regulations effectively and quickly. Communicates well with clients and Audit team members. Engages in relevant training regarding audit, businesses, financial controls, regulations or a particular specialty.  Typically works on projects of moderate complexity that would involve significant learning (regulatory regime, business model, processes) on each new assignment.  Must be able to quickly assimilate new information in order to analyze the risks and controls effectively.  Relevant knowledge of financial institutions and all applicable regulatory requirements is expected.  Should be able to think creatively as well as take direction.  Identify problems that are not consistent with past audits and begin to structure a solution or remedy to address issue(s).  Identify opportunities for the use of automation and make recommendations for software support requests.  Need to display flexible and adaptive problem solving skills due to the variety of operational and technological infrastructures within the Company.  Staff at this level will be expected to own sections of the audit program and bring them to completion. Specialists may have different roles depending on their department but all will need to be able to use their skills to find effective solutions to problems as part of the day-to-day business.  Learns business strategies, processes and regulations effectively and quickly and is alert to the changing nature of risk.  Appropriately analyze control environment and develop effective audit steps to test controls where necessary in line with the new methodology.  Conclude on the level of residual risk.  Demonstrates these skills through, for example, thoughtful analysis of business processes and issue identification, as well as discussions with the project leader and auditees.  The individual works closely with an Audit project leader and other Auditors on each project.  Additionally the individual would work closely with clients both in learning the business and testing controls.  This requires both good oral and written communications skills and an ability to be sensitive to the needs of clients and team members.  Must be able to keep sensitive information confidential and know how to use appropriately. Must be able to know when to elevate potential audit issues as soon as they are identified to the AIC.


3-5 years of total work experience preferred. Prior experience in Audit or the relevant specialty area preferred. Additional core skill requirements include understanding of the applied and interpretation of analytics results for Audit, critical thinking and problem solving.


BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

Primary Location: United States-New York-New York
Internal Jobcode: 85001
Job: Audit
Organization: Audit Enterprise Function-HR07987
Requisition Number: 2006300