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Ensures internal controls over regulatory reporting (ICRR) are sound and effective to ensure compliance with a SOX-like framework. Assigned regulatory areas are typically moderately complex. Incumbents demonstrate a breadth of knowledge of compliance and control and a thorough understanding of regulatory reporting. Recognized throughout the organization as the ICRR point of contact for a regulatory report or area.
Contributes in the execution of the ICRR assessment program in providing thorough and reliable identification of in-scope reports and locations, planning, testing, documentation, and reporting of the effectiveness of regulatory reporting for delivery to the senior management and external committees. Leverages SOX-like compliance techniques to achieve business objectives. Undertakes substantive testing on specific disclosures within report forms making recommendations on improving quality and process.
Contributes to the development and sustention of Control & Compliance initiatives to evolve controls framework, risk management approaches and operational efficiency.
Provides guidance on the integration of internal controls into regulatory processes and systems to senior level management and regulatory reporting groups.
Begins to build strategic relationships to influence at all levels of the organization. Liaises with other business units to assess control elements associated with new or potential projects. Collaborates with other stakeholders to develop and implement consensual decisions.
Bachelor’s Degree or the equivalent combination of education and experience is required. 7-10 years of experience in information risk preferred. Experience in public accounting, SOX testing, regulatory services or shared services is preferred. Certified Public Accountant (CPA) or Chartered Accountant (CA) certification is preferred.
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. Make your mark: bnymellon.com/careers.
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.