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27 Feb 2023

Full-Time Senior Specialist, SOX Control & Compliance

BNY Mellon – Posted by BNY Mellon Pittsburgh, Pennsylvania, United States

Job Description


Put your professional experience to work for one of the world’s most recognized and admired financial industry companies with a career at BNY Mellon.

Founded in 1784 by Alexander Hamilton, we have not only been an engine behind the evolution of the financial industry, but we have also evolved at every step.  Today we are more than 50k+ employees across 35 countries as we continue to build momentum and achieve further growth.

As a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle, BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. Being one of the world’s top asset management and banking firms that manages $42 trillion in assets, has 97% of the world’s top banks as customers, and one of the first to use computing technology and access the largest dataset available globally, we have the insights, solutions, technology, and talent to shape the future of finance.

About SOX Compliance & Controls (SOX C&C)

SOX Compliance & Controls is a global team of professionals which assesses critical financial, regulatory, and technology processes/areas supporting all lines of businesses and functions around the world. We are a diverse, resilient, and unique group of experienced business & technology professionals based within the Company’s Finance Department.  SOX C&C also offers a developmental opportunity that extends beyond the traditional boundaries of our core functions, providing a well-rounded perspective of Finance, IT and the overall business.

SOX C&C is comprised of four primary areas, with opportunities for mobility across these areas for our employees:

  • Internal Control over Financial Reporting (ICFR) – SOX 404 Compliance
  • Internal Control over Regulatory Reporting (ICRR)
  • Basel Independent Verification (BIV)
  • Information Technology

We would like you to be a part of this exciting and growing team that will enable you to obtain extensive exposure and insight across BNY Mellon!

Standard Job Responsibilities

As a key member of SOX C&C, you will: ensure internal controls over regulatory reporting are sound and effective to ensure compliance with the Sarbanes-Oxley Act (“SOX”). Assigned business/business partner areas are typically medium to large in size and moderately complex. Incumbents demonstrate a breadth of knowledge of compliance and control and a thorough understanding of SOX. Recognized throughout the organization as the SOX point of contact for a particular business/business partner area.  Contributes in the execution of the SOX assessment program including planning, testing, documentation, and reporting of the effectiveness of regulatory reporting for delivery to the senior management and external committees. Contributes to the establishment of SOX compliance for the business/business partner area and is responsible for ensuring the implementation of that assessment. Leverages SOX compliance techniques to achieve business objectives. Contributes to the development and sustention of Control & Compliance initiatives to evolve controls framework, risk management approaches and operational efficiency. Co-leads the execution and delivery of controls & compliance initiatives to evolve controls framework, risk management approaches and operational efficiency. Provides guidance on the integration of internal controls into finance processes and systems to senior level management. 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. As necessary, partners with business continuity coordinators to develop disaster test scenarios and methods for managing the resulting hypothetical issues. Supervises, motivates and guides more junior Control & Compliance roles. Provides technical advice/guidance to less experienced Control & Compliance roles as needed.  Contributes to the achievement of team goals.  Modified based upon local regulations/requirements.

Bachelor‘s Degree or the equivalent combination of education and experience is required. 7-10 years of total work experience preferred. Experience in public accounting, SOX testing, financial services or shared services is preferred. Certified Public Accountant (CPA) or Chartered Accountant (CA) certification is preferred. 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.

How to Apply

Job Types: Full-Time.

Job expires in 5 days.

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