Vice President, Auditor (AppTech)

BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 36 countries and serving more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team.

An exciting opportunity has arisen for an Application Technology Auditor to join our growing team primarily focussed on technology supporting Finance and Risk & Compliance processes. The successful candidate will lead, as an Auditor-in-Charge, and execute the audit delivery lifecycle as a team member on audit assignments in accordance with Internal Audit policies, methodologies, and standards to identify meaningful issues, risks and other exposures. Your focus will be on application input, processing and output controls where you will need to draw on extensive experience and/or specialist skills within application technology to plan and deliver audits.

The IT Audit Senior II role involves management and problem solving with minimal day-to-day oversight, leading and performing audit related activities, managing others on audits, and working as a team member on other audit assignments, as required.

• Responsible for ensuring testing (or other tasks as applicable) is adequately thorough and accurate to allow an evaluation of the adherence to company policies and procedures, audit methodologies, and all applicable regulations, when performing a project leader role.
• Testing and documentation of automated controls and processes as per Audit plans and methodologies.
• Specifically controls surrounding interface testing (ODBC, FTP, NDM, MQ, etc.), application controls (SoD, edit/check validation, calculations, etc.), and output controls (C&A).
• Demonstrates understanding of businesses, processes, including applications, through flowcharting, workpapers, analysis, issue identification and discussions with project leaders and auditees on projects of varying complexity.
• Has strong understanding of audit, businesses, financial controls, regulations, or technology and actively seeks to apply this knowledge in their role and educate the wider audit team.
• Thinks beyond past routines about new issues or emerging risks.
• Able to query business and technology stakeholders and colleagues in Audit to understand the underlying processes and procedures necessary to evaluate the risks and controls.
• Performs research independently and has adequate knowledge of statistical sampling and risk analysis to perform research with technical accuracy.
• Engages in Continuous Monitoring activities.
• Uses knowledge of financial institutions and all applicable regulatory requirements.
• Demonstrates skills through advanced analysis of business processes and issue identification, as well as discussions with the project leader/manager and auditees.
• Serves as an internal resource capable of auditing a wide range of processes.
• Has built a deep understanding of core concepts in data analytics, relevant technology, the regulatory environment, the financial services industry, project management and business processes and can integrate these concepts into audit processes and leverage them to solve difficult problems.
• Develops relationships with the Audit Project Leader and/or audit management, other Audit associates, and clients.
• Able to clearly explain the audit process to clients (if appropriate), as well as any findings or results.
• Understands the sensitive nature of confidential information and uses it appropriately.
• Elevates potential audit issues to the Audit Manager as soon as they are identified.
• Has demonstrated ability to explain technical/complex issues to non-technical audiences and is gaining skill in persuading and influencing others to adopt a new point of view.
• Applies analytical problem-solving skills and leads others in solving complex issues and identifying innovative solutions.
• Contributes technical expertise to solve audit issues.
• Identifies inconsistencies with the control environment, regulatory requirements and best practices and initiates the development of a structure or solution to address the issue(s).
• Identifies opportunities for the use of automation and actively takes part in advancing recommendations for software support requests.
• No direct reports.
• Demonstrates leadership through work, guidance, and training of less experienced peers and through advice to assigned clients.

Experience & Qualification:

• Degree in Accounting, Finance, or relevant critical thinking specialty such as MIS, Computer Science, Mathematics preferred.
• Relevant years of total work experience.
• Prior experience in Audit or Risk, preferably focussed on Applications.
• Additional core skill requirements include understanding and interpretation of analytics results for Audit, critical thinking and problem solving.

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart.