Senior Vice President, Auditor, Global Financial Crimes and Compliance

BNY Mellon • Lake Mary, FL

8d

About The Position

Senior Vice President, Auditor, Global Financial Crimes and Compliance 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’re seeking a future team member for the role of Senior Vice President, Auditor, Global Financial Crimes and Compliance to join our Internal Audit team. This role is located in Lake Mary, FL. In this role, you’ll make an impact in the following ways: Lead global FCC program initiatives, including policy, standards, control design, and operating effectiveness. Drive end-to-end program leadership for surveillance enhancements: coverage and risk assessments, scenario design and tuning, lexicon/model calibration, threshold governance, QA frameworks, metric/KRI design, alert quality improvements, and sustainable remediation. Oversee second line testing, continuous monitoring, and issue validation for surveillance controls; identify meaningful issues impacting business processes and challenge remediation plans to verify closure. Partner with technology and model owners on surveillance platform governance (use-cases, data lineage/quality, thresholds, model risk considerations, periodic calibration, back-testing, and documentation). Lead stakeholder engagement with senior business leaders, operations, technology, and risk; partner closely with regulatory exam management for supervisory interactions and preparedness (playbooks, artifacts, metrics). Build and manage a high-performing team of GFC&C and Surveillance SMEs; provide coaching, elevate consistency/quality, and foster cross-border knowledge transfer. Enhance reporting to compliance leadership and governance committees: KRIs/KCIs, thematic insights, root-cause analysis, and trend reporting for surveillance and GFC&C programs. Contribute to the annual compliance plan, resource prioritization, and transformation roadmap across AML, Sanctions, Fraud, Anti-Bribery, and Surveillance. Maintain up-to-date knowledge of industry best practices and evolving supervisory expectations, cascade training and guidance across regions and teams. Carry out other ad hoc tasks and projects as directed by compliance senior management.

Requirements

• 12 years in banking/financial services (10 years in Internal Audit and U.S. self-regulatory environments), leading risk-based audits, thematic reviews, and global remediation programs across the U.S. and Europe; proven ability to embed data-driven testing and AI ‑ assisted controls to strengthen assurance, coverage, and issue validation.
• Deep audit and compliance experience across Corporate Compliance, Conduct & Fiduciary Risk, Financial Crime (AML, Fraud), and Surveillance Programs (Market Abuse/Trade, E ‑ Comm, Voice); recognized for closing high-profile regulatory issues through strong regulator engagement, disciplined control testing, and analytics ‑ enabled root cause analysis and remediation.
• Strong cross-border execution in EMEA and U.S., including aligning audit plans and compliance controls to regional regulatory expectations; adept at harmonizing analytics use cases, data protection requirements, and AI documentation standards to support defendable audit findings and regulatory interactions.
• Regulatory knowledge: U.S. frameworks (BSA, USA PATRIOT Act, FCA, OFAC, SEC/FINRA rules, FRB, OCC/CFPB, NFA/CFTC).
• Practical expertise in surveillance and control testing: scenario development, lexicon design/tuning, model calibration and threshold governance, alert QA, false positive reduction, coverage mapping, data quality controls, audit ‑ readiness documentation, and runbook management; complemented by audit validation of ML models (feature engineering reviews, drift monitoring, performance thresholds, and explainability testing).
• Strong communication and influencing skills; confident engaging senior stakeholders and regulators; expert at translating complex analytics/AI outcomes into clear, risk ‑ based audit narratives, issue papers, and management action plans with measurable control improvements.
• Deep understanding of governance, risk, and control frameworks across the three lines of defense; hands ‑ on experience with audit methodologies, continuous monitoring, and issue validation—integrating analytics/AI controls (data lineage, model inventory and approvals, human ‑ in ‑ the ‑ loop oversight, and ongoing performance monitoring) to enhance assurance quality.
• Self ‑ starter with a high degree of ownership; thrives in fast ‑ paced environments; experienced in accelerating analytics adoption within audit/compliance through targeted pilots, agile delivery, and disciplined benefits tracking tied to reduced residual risk and improved control effectiveness.
• Excellent planning, coordination, organization, and presentation skills; skilled at building audit analytics roadmaps, prioritizing high ‑ risk areas, and delivering executive dashboards that clarify findings, control gaps, and remediation progress.
• Tools and skills: Microsoft 365 (Excel – advanced, PowerPoint, Word; Visio a plus); data/analytics tools such as Alteryx; strong proficiency in Python and SQL for audit analytics, control testing automation, and evidence generation; experience with BI/visualization platforms (Tableau, Power BI), big ‑ data/ML ecosystems (Databricks, Spark), and familiarity with AI ‑ enabled surveillance/case management platforms; working knowledge of MLOps relevant to audit (versioning, change controls, monitoring, and drift management).
• Education: Bachelor’s degree in finance or related field; Master in Compliance (preferred); supplemental coursework in audit analytics, statistics, and data privacy beneficial.
• Certifications: CFIRS and CFE (required or strongly preferred); CAMS and CIA, considered beneficial; data/analytics/AI credentials (e.g., Python, Tableau/Power BI, cloud/Databricks, or ML governance training) are a plus.

Nice To Haves

• Leadership of market conduct remediation programs and enterprise-level issue validations.
• Experience directing 1LoD/2LoD testing in Corporate & Investment Bank surveillance programs.
• Prior engagement with FRB examiners, bank monitors, and global regulatory stakeholders.
• Experience building regional audit capability and coaching/developing auditors.

Responsibilities

• Lead global FCC program initiatives, including policy, standards, control design, and operating effectiveness.
• Drive end-to-end program leadership for surveillance enhancements: coverage and risk assessments, scenario design and tuning, lexicon/model calibration, threshold governance, QA frameworks, metric/KRI design, alert quality improvements, and sustainable remediation.
• Oversee second line testing, continuous monitoring, and issue validation for surveillance controls; identify meaningful issues impacting business processes and challenge remediation plans to verify closure.
• Partner with technology and model owners on surveillance platform governance (use-cases, data lineage/quality, thresholds, model risk considerations, periodic calibration, back-testing, and documentation).
• Lead stakeholder engagement with senior business leaders, operations, technology, and risk; partner closely with regulatory exam management for supervisory interactions and preparedness (playbooks, artifacts, metrics).
• Build and manage a high-performing team of GFC&C and Surveillance SMEs; provide coaching, elevate consistency/quality, and foster cross-border knowledge transfer.
• Enhance reporting to compliance leadership and governance committees: KRIs/KCIs, thematic insights, root-cause analysis, and trend reporting for surveillance and GFC&C programs.
• Contribute to the annual compliance plan, resource prioritization, and transformation roadmap across AML, Sanctions, Fraud, Anti-Bribery, and Surveillance.
• Maintain up-to-date knowledge of industry best practices and evolving supervisory expectations, cascade training and guidance across regions and teams.
• Carry out other ad hoc tasks and projects as directed by compliance senior management.

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