Vice President, Audit Project Leader - Investments

At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.

Responsibilities:

• Lead comprehensive audits of Investment Management activities, ensuring all processes align with the organisation’s policies, internal audit methodologies, and industry standards.
• Develop and execute risk‑focused audit plans, carrying out detailed fieldwork and preparing clear, impactful reports that identify critical risks, exposures, and improvement opportunities.
• Engage proactively with stakeholders, building strong relationships to facilitate open communication and drive meaningful change across the business.
• Oversee and review testing procedures and deliverables, confirming that all work accurately evaluates adherence to company policies, audit frameworks, and relevant regulations.
• Demonstrate deep understanding of business operations and processes through effective flowcharting, thorough work papers, insightful analysis, and clear communication with management and auditees.
• Identify and clearly articulate control gaps, regulatory deficiencies, and best practice deviations, explaining audit approaches and findings to clients in a straightforward, professional manner.
• Apply advanced analytical and problem‑solving skills, leading teams in resolving complex issues and driving innovative solutions to enhance business effectiveness and regulatory compliance.

Qualifications:

• Experienced Auditor with an Investment Management background; second‑line experience also considered.
• Strong background in risk‑based audit planning, execution, reporting, and following up on issues, consistent with professional standards (IIA).
• Comprehensive understanding of investment management, including equity, fixed income, derivatives, and alternative products, as well as end‑to‑end processes such as trade execution, settlement, valuation, and performance measurement.
• Advanced knowledge of investment risk management across market, credit, liquidity, concentration, operational, and model risks, including concepts such as VaR, stress testing, and performance attribution.
• Familiarity with regulatory and compliance frameworks (SEC, FCA, MiFID II, AIFMD, UCITS) and an understanding of key requirements such as market abuse regulations, best execution obligations, anti‑money laundering, and sanctions.
• Strong analytical and data‑handling skills, with proficiency in data analytics tools, and exposure to investment and risk management systems.
• Demonstrated ability to lead and manage teams, mentor staff, review audit workpapers, and deliver high‑quality results.
• Strong communication and influencing skills—comfortable engaging with both internal and external stakeholders, both in writing and verbally, and able to effectively communicate at senior levels.
• Strong planning, coordination, organization, and presentation abilities.
• A degree or equivalent professional experience is ideal, and recognised postgraduate qualifications (such as CIA, CMIIA, ACA, ACCA, or CAMS) are advantageous but not required.

BNY is an Equal Employment Opportunity/Affirmative Action Employer – Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.