Vice President, Risk and Compliance Assurance and Testing - Compliance & Control
ID: 57381Job Description
Vice President - Risk and Compliance Assurance and Testing - Compliance & ControlAt BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere.We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what#LifeAtBNYis all about.We're seeking a future team member for the role ofVice President - Risk and Compliance Assurance and Testing - Compliance & Controlto join ourCompliance Testingteam. This role is located inRio de Janeiro, RJ – HYBRID .This position has dual reporting to the Head of Americas Compliance Testing and local reporting to the Brazil Compliance function with focus primarily on compliance monitoring and testing for Brazil BNY businesses/legal entities. The BNY Compliance Testing Team belongs to the 2nd of the Company´s Three Lines of Defense and works together with managers and employees of the Lines of Businesses (1st line), Risk & Compliance (2nd line) and Internal Audit (3rd Line) to protect the company and the clients from regulatory breaches. The area operates independently, assisting the organization in the evaluation of their regulatory adherence by assessing controls, processes and corporate governance.In this role, you'll make an impact in the following ways:Lead and perform the execution of Compliance Testing thematic reviews at a high standard efficiently, effectively and timely related to BNY businesses and operational processes to ensure adherence to applicable laws, rules, and regulations as well as corporate and business policies and procedures in accordance with the Global Compliance Testing Manual methodology for the Americas / Brazil Annual Compliance Testing plan;As assigned, act as a delegate for the Compliance Testing Manager/Team Leader in ad-hoc assignments and reviews; preparation of meeting materials and presentations; and reviewing of Compliance Testing files;Assisting Compliance Testing Manager/Team Leader with planning of the Annual Compliance Testing Program as required;Understanding key regulations in scope to design applicable tests to be performed to assess adherence of the business to business, corporate and regulatory requirements;Coordinating, conducting and documenting high quality planning/fieldwork meetings walkthroughs and testing in accordance with Compliance Testing guidelines;Communicating effectively, in both verbal and written mediums, observations and findings identified and facilitating the development and agreement of corrective action plans to the business, tracking actions proactively to conclusion;Perform validation of business remediated findings by ensuring agreed upon action plans in the Compliance Testing Report are completed in full and properly supported;Represent Compliance Testing at internal/external meetings and Committees where required;Training and supporting other team members on the application of the Global Compliance Testing Manual methodology and systems e.g., BNY's Compliance Testing system;Providing input to team, department and ad-hoc projects and assignments as required;Complying with all BNY's corporate policies and procedures and mandatory training requirements.To be successful in this role, we're seeking the following:Bachelor's Degree in Accounting, Business Administration and Economics, others;Fluent oral and written English and Portuguese;Experience performing Compliance Reviews and/or Internal Audit work, with a solid understanding of the key steps of reviews/audit;Solid skills in project management, high volume demands, while meeting agreed upon deadlines;Skilled in communication and interaction with internal clients, compliance team members and businesses partners (Internal Audit, Risk, etc.);Ability to work independently, being proactive in terms of planning and executing the work, raising any challenges or concerns in a timely manner;Advanced knowledge of the MS Office package, especially Word, Excel, Adobe PDF and PowerPoint;Desirable previous experience with investment funds;Desirable experience in Big Four Companies, Banking/Financial Institutions, Internal Audit, Compliance and/or Compliance Testing preferred.At BNY, our culture speaks for itself. Here's a few of our awards:America's Most Innovative Companies, Fortune, 2024World's Most Admired Companies, Fortune 2024Human Rights Campaign Foundation, Corporate Equality Index, 100% score, 2023-2024"Most Just Companies", Just Capital and CNBC, 2024Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024Bloomberg's Gender Equality Index (GEI), 2023Our Benefits and Rewards: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.BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities.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.#J-18808-Ljbffr
