VP, Internal Audit — Clearing Broker-Dealer Markets

BNY; New York (NY); Sur place; USD 69 000 - 160 000; Plein temps

Résumé du poste

BNY in New York seeks a senior audit professional to lead complex, global audits focused on Clearing Broker-Dealer operations. You will drive planning, fieldwork, and reporting, documenting risks, controls, and testing strategies while escalating issues to management and developing remediation actions.

The role requires 7–10 years in financial services, with a CIA or similar certification preferred and a strong grasp of regulations and market infrastructure.

Qualifications

• Bachelor's degree or equivalent combination of education and experience.
• Degree in Accounting or Finance or a related analytical discipline.
• CIA designation or other risk-management certifications preferred.
• 7–10 years of experience in financial services, Internal Audit or Risk/Compliance.

Responsabilités

• Lead or participate in complex, global audit assignments focused on Clearing Broker Dealer.
• Plan, fieldwork, and report in line with audit methodologies.
• Document walkthroughs, risks, controls, testing strategy, and test exceptions.
• Escalate issues to Audit Manager and management promptly.
• Draft issues and remediation actions with management.
• Follow up on remedial actions and test sustainability.
• Build relationships with stakeholders across the business and risk.
• Engage in Continuous Monitoring and identify new risk conditions.
• Apply advanced analytical problem-solving and promote innovative solutions.
• Contribute specialized knowledge to address audit issues.
• Identify opportunities for AI/automation and software support.
• Stay updated on industry, practices, and regulatory requirements.
• No direct reports; demonstrate leadership through guidance.

Connaissances

Experience 7-10 years

Formation

Bachelor's degree or equivalent

Accounting/Finance degree

Description du poste

BNY in New York seeks a senior audit professional to lead complex, global audits focused on Clearing Broker-Dealer operations. You will drive planning, fieldwork, and reporting, documenting risks, controls, and testing strategies while escalating issues to management and developing remediation actions.

The role requires 7–10 years in financial services, with a CIA or similar certification preferred and a strong grasp of regulations and market infrastructure.