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9 Jan 2023

Full-Time Senior Auditor II – Client Asset Safety

BNYMellonTA – Posted by BNY Manchester, England, United Kingdom

Job Description

Overview Of BNY Mellon:

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.


Job Purpose:

Client Asset Safety Senior Auditor II role: subject matter expert within the Internal Audit function carrying out audits in relation to the client asset safety rules and requirements globally (this includes, but is not limited to, the asset safety requirements in the UK, Belgium, Australia, and Ireland).



  •  To work with the client asset safety Audit Manager to provide client asset safety specific direction and support to Audit Management and the Audit team in general.
  • Keep up-to-date with developments in client asset safety regulations and their application to the Company, including liaising with the Global Asset Safety Oversight Office, Compliance and Risk.
  • Ensure that client asset safety regulations, risks and controls are appropriately covered in the client asset safety audits they are responsible for completing.
  • Support/lead client asset safety specific audit reviews, being responsible for managing certain aspects of the audit from planning, fieldwork, and reporting and issue closure.
  • Work with the client asset safety Audit Manager to provide a view on the validity and risk implications of any client asset safety related audit issues.
  • Challenge Business/Operations Management to ensure appropriate remedial action has been taken where issues have been identified.
  • Write high quality, professionally presented Internal Audit reports and audit findings, requiring minimal input from Audit Management.
  • Understand and apply the Internal Audit Methodology to produce good quality and detailed working papers.
  • Represent Internal Audit in all client asset safety related projects and committees as assigned.
  • Work with the client asset safety Audit Manager to provide input to and deliver client asset safety training.
  • Contribute towards maintaining the client asset safety Audit Universe Inventory and associated risk assessment from ongoing continuous monitoring activities.
  • Support/ lead other non- client asset safety related audit reviews.
  • Carry out other ad-hoc tasks and projects as directed by Audit Management.


  • Relevant years of experience in client asset safety related roles.
  • Good understanding of client asset safety regulatory requirements.
  • Good general knowledge of the financial services industry and its regulations and laws.
  • Strong understanding of Custody Operations/Banking, Transfer Agency and other Operations impacted by the client asset safety rules.
  • An understanding of front to back client asset safety processes and controls such as client onboarding, or reconciliations.
  • Experience in an Internal/External Audit, or Compliance monitoring role preferred.
  • A strong, confident persuasive communicator (oral and written), capable of robust dialogue.
  • Self-starter with ability to work under minimal supervision.
  • Strong attention to detail to ensure accuracy and completeness of deliverables produced, strong analytical mindset to analyze data and effective problem-solving skills to work autonomously.
  • Proven track record of delivering risk based projects.
  • Experience of dealing with and presenting to senior management.
  • Knowledgeable on good governance practices
  • Skill in negotiating issues and resolving problems.
  • Considerable skill in effective verbal and written communications, including active listening skills and skill in presenting findings and recommendations.
  • Ability to establish and maintain harmonious working relationships with business unit management, operational risk management, co-workers, and staff and external contacts, and to work effectively in a professional team environment.

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.

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Job Categories: Equal Opportunities. Job Types: Full-Time. Job Tags: auditing; finance; banking. Salaries: Not Disclosed.

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