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27 Feb 2023

Full-Time Senior Specialist, SOX IT 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:

Demonstrate a breadth of knowledge of IT general controls and application controls with a thorough understanding of SOX.

Ensure IT general controls and application controls over financial reporting are sound and effective to ensure compliance with SOX.

Contribute to the buildout and execution of the SOX IT plan in the identification and assessment of key IT controls for in-scope information systems for testing, documentation and reporting to Senior Management.

Efficiently manage multiple deliverables across various time sensitive deadlines while executing the completion of the test of design and test of operating effectiveness over the internal controls with limited oversight

Be IT SOX point of contact across Technology/Business units while actively liaising with partners (e.g., External Audit, Internal Audit, Technology Risk) to assess control elements associated with new or potential projects impacting SOX.

Contribute to and co-leads the execution and delivery of controls & compliance initiatives to evolve IT controls framework, risk management approaches and operational efficiency (e.g.,  Regulatory Reporting, BIV).

Provide guidance on the integration of IT general controls & application controls into processes and systems to Senior Management.

Effectively collaborates with business & technology stakeholders to identify ways to improve testing efficiency and issue reporting communications.

Actively contributes to the achievement of the IT SOX team goals.

Provide technical advice/guidance to less experienced control & compliance roles, where needed, while actively collaborating as the Subject Matter Expert (SME) internally with SOX C&C teams.


Bachelor‘s Degree or the equivalent combination of education and experience is required.

Certified Information Systems Auditor (CISA) or an equivalent IT certification is preferred.

7-10 years of experience in IT risk/controls and/or auditing background is required. Experience with GRC software (AuditBoard) or data analytic tools (PowerBI, Alteryx) is preferred.  Financial Services industry experience is helpful.


How to Apply

Job Types: Full-Time.

Job expires in 7 days.

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