Senior Director, Investment and Wealth Management Audit

BNY Mellon • New York, NY

6d

About The Position

At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.
We are seeking a highly experienced Senior Director Senior Audit professional, to lead the development and execution of a comprehensive audit program focused on Investments and Wealth Management. This role requires a seasoned professional with deep expertise in fiduciary responsibilities, investment risk, and portfolio management controls. The successful candidate will build a fit-for-purpose audit framework aligned with the latest regulatory expectations and industry best practices, while managing and advising global audit teams. This role is located in New York, New York.

Requirements

• Deep understanding of fiduciary operations and regulations, investment management and portfolio management, broker-dealer services, and related operations and sales risks and controls.
• Robust people leadership experience, leading and motivating teams of scale while collaborating in a matrixed organization.
• Demonstrated ability to solve problems, prioritize decisions, and successfully manage multiple projects in a high-pressure environment.
• Demonstrated ability to embrace innovation and manage change.
• Bachelor's degree or equivalent combination of education and work experience required. Degree in accounting, finance, or relevant specialty preferred.
• Minimum 15 years of progressive experience in internal audit, risk management, or related fields within financial services, banking, or insurance sectors.
• Proven track record managing global audit teams and complex audit programs at a senior leadership level.
• Deep understanding of fiduciary responsibilities, investment risk management, portfolio management processes, and associated control frameworks.
• Strong knowledge of regulatory requirements affecting Investments and Wealth Management, including experience with global regulators preferred.
• Excellent advisory, negotiation, and influencing skills with the gravitas to engage effectively with senior executives and board members.
• Demonstrated ability to think strategically and execute tactically in a dynamic, global environment.

Nice To Haves

• MBA, CPA, CFA or related certifications preferred.

Responsibilities

• Design, implement, and continuously enhance a robust Investments and Wealth Management audit program that addresses key risks and regulatory requirements globally.
• Lead and manage a diverse, global team of auditors, providing guidance, mentorship, and performance oversight.
• Serve as a subject matter expert on fiduciary duties, investment risk, portfolio management, and related control environments.
• Act as a trusted advisor to internal audit teams, offering technical expertise and strategic insights to improve audit quality and effectiveness.
• Engage with senior leaders and relevant Board committees to communicate audit findings, influence risk mitigation strategies, and promote a strong control culture.
• Maintain up-to-date knowledge of regulatory developments, audit trends, and industry best practices relevant to Investments and Wealth Management.
• Collaborate with global regulators and external stakeholders as needed, leveraging experience to navigate complex regulatory landscapes.
• Drive continuous improvement initiatives within the audit function to enhance efficiency, coverage, and impact.

Benefits

• BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Number of Employees: 5,001-10,000 employees