Senior Vice President, SOX Control & Compliance Manager

BNY Mellon•New York, NY

11d•Onsite

About The Position

The SOX / ICFR Manager is responsible for leading the design, implementation, execution, and continuous improvement of the Internal Control over Financial Reporting (“ICFR”) and Sarbanes-Oxley (“SOX”) control framework across assigned businesses, processes, or legal entities. The role provides leadership over risk assessments, control evaluation, issue remediation, and stakeholder governance to support management’s annual certification and strengthen the overall controls culture across Finance, Operations, Technology, and business teams. We’re seeking a future team member for the role of Senior Vice President to join our Sox and Control team. This role is located in Pittsburgh. In this role, you’ll make an impact in the following ways: Lead the end-to-end SOX and ICFR program for assigned business areas, key processes, or legal entities, ensuring execution is aligned to annual regulatory and management timelines. Direct risk assessments to identify significant accounts, key financial reporting risks, relevant control points, and changes that may impact the SOX and ICFR scope. Oversee and challenge the quality of process narratives, risk and control matrices, flowcharts, control inventories, and supporting documentation standards across the portfolio. Review and challenge the design and operating effectiveness assessment of manual, automated, and IT-dependent controls. Coordinate with control owners, Finance, Operations, Technology, Compliance, Internal Audit, and External Audit to ensure walkthroughs, testing, evidence submission, and remediation are completed on time. Oversee and review audit team’s test workpapers across Test of Design (“TOD”) and Test of Operating Effectiveness (“TO”E), ensuring testing is executed consistently, documentation is complete and audit-ready, and conclusions are supported by sufficient and appropriate evidence. Assess control deficiencies, support severity evaluation, and drive robust remediation planning in line with internal methodology and regulatory expectations. Provide senior management reporting on testing outcomes, program health, deficiencies, remediation status, and highlight areas requiring escalation. Drive simplification, control rationalisation, standardisation, and automation initiatives to improve the efficiency and sustainability of the control framework. Coach and develop junior team members and act as a senior subject matter expert for SOX, ICFR, and financial reporting controls across the broader organization. Lead continuous monitoring across key SOX program areas, including analysing the Operational risk events (“ORE”), Internal Audit issues, representation letter matters, external audit issues and other control-related themes, to identify emerging risks, perform impact assessment and ensure timely escalation and resolution.

Requirements

Bachelor’s degree in Accounting, Finance, Risk Management, Business, or a related discipline.
Professional qualification such as CA, CPA, ACCA, ACA, CIA, CISA, or equivalent.
Experience with banking and financial services, financial close/reporting processes, and enterprise control frameworks such as COSO and COBIT.
Experience leading cross-functional control transformation, rationalization, or automation/ AI initiatives.
Demonstrates ownership, accountability, and balanced judgment in complex control and stakeholder matters.
Leads with a strong risk and controls mindset and sets clear expectations for quality and timeliness.
Builds trusted relationships across senior stakeholder groups and collaborates effectively across functions and regions.
Develops team capability through coaching, constructive feedback, and knowledge sharing.
Promotes a proactive and continuous-improvement culture within the ICFR and SOX programme.

Responsibilities

Lead the end-to-end SOX and ICFR program for assigned business areas, key processes, or legal entities, ensuring execution is aligned to annual regulatory and management timelines.
Direct risk assessments to identify significant accounts, key financial reporting risks, relevant control points, and changes that may impact the SOX and ICFR scope.
Oversee and challenge the quality of process narratives, risk and control matrices, flowcharts, control inventories, and supporting documentation standards across the portfolio.
Review and challenge the design and operating effectiveness assessment of manual, automated, and IT-dependent controls.
Coordinate with control owners, Finance, Operations, Technology, Compliance, Internal Audit, and External Audit to ensure walkthroughs, testing, evidence submission, and remediation are completed on time.
Oversee and review audit team’s test workpapers across Test of Design (“TOD”) and Test of Operating Effectiveness (“TO”E), ensuring testing is executed consistently, documentation is complete and audit-ready, and conclusions are supported by sufficient and appropriate evidence.
Assess control deficiencies, support severity evaluation, and drive robust remediation planning in line with internal methodology and regulatory expectations.
Provide senior management reporting on testing outcomes, program health, deficiencies, remediation status, and highlight areas requiring escalation.
Drive simplification, control rationalisation, standardisation, and automation initiatives to improve the efficiency and sustainability of the control framework.
Coach and develop junior team members and act as a senior subject matter expert for SOX, ICFR, and financial reporting controls across the broader organization.
Lead continuous monitoring across key SOX program areas, including analysing the Operational risk events (“ORE”), Internal Audit issues, representation letter matters, external audit issues and other control-related themes, to identify emerging risks, perform impact assessment and ensure timely escalation and resolution.