BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment and wealth management and investment services in 35 countries. As of March 31, 2021, BNY Mellon had $41.7 trillion in assets under custody and/or administration, and $2.2 trillion in assets under management. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation (NYSE: BK). Additional information is available on www.bnymellon.com. Follow us on Twitter @BNYMellon or visit our newsroom at www.bnymellon.com/newsroom for the latest company news.
The individual will report into the Head of the Manchester Audit Department with their primary responsibilities to assist in the delivery of the EMEA and Global Operations Audit Plan. The responsibilities will primarily consist of overseeing audit execution and managing the Operational audit pipeline. The individual will:
Operate as a team member or independently and have responsibility for delivering audit projects.
Ensure testing is adequately thorough and accurate to allow an evaluation of the control environment by identifying existing and emerging risks, along with the adherence to company policies and procedures, audit methodologies, and all applicable regulations.
May be required to manage and develop staff on audit projects.
Prepare documents and reports that are “client ready”.
Build and maintain management relationships and participates in continuous improvement initiatives.
Leads testing/audits of primarily operational processes, though other areas may be covered.
Coaching more junior team members on delivery of audits
Regularly applies project management methodologies to effectively oversee multiple projects/staff across multiple audits.
Identifies meaningful issues and tracks remediation of issues to completion.
Demonstrates understanding of businesses and processes through flowcharting, work papers, analysis, issue identification and discussions with Audit Management and Auditees on projects of varying complexity.
Triages potential audit issues, escalates to the Auditor in Charge or Audit Manager if required and provides potential solutions for consideration.
Leverages advanced business knowledge or experience in order to practice strategic or systemic results.
Able to query business clients and colleagues in Audit to understand the underlying processes and procedures necessary to evaluate the control risks
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 on a day-to-day basis.
Engages in relevant training regarding audit, businesses, financial controls, regulations, or a particular specialty and actively seeks to apply this knowledge in their role and pass it on to the wider audit team.
Thinks beyond past routines about new issues or risks.
Serves as an internal expert on the most complex Audit topics.
Applies a deep understanding of core and advanced 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 and create innovative solutions.
Uses judgement with regard to issue priority and communication.
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 actively champions security/privacy controls among the team.
Has demonstrated the ability to explain technical/complex issues to non-technical audiences and is adept at applying logical, well-constructed arguments to persuade and influence others to adopt a new point of view.
Applies sophisticated analytical problem-solving skills and leads others in solving complex issues and identifying innovative solutions in area of specialism. In such cases, contributes highly technical or specialized skills sets or business knowledge not readily available elsewhere in the department 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).
Follows up and validates sustainable resolution of issues on a timely basis. Identifies opportunities for the use of automation and actively takes part in advancing recommendations for software support requests.
Bachelor’s degree or equivalent combination of education and work experience required. Degree in Accounting, Finance, or relevant critical thinking specialty such as MIS, DIS, Computer Science, Mathematics preferred. MBA, CPA, CFA or related certifications 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.
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