Vice President, SOX Control & Compliance

The SOX / ICFR Lead is responsible for owning workstreams within the SOX and ICFR programme and ensuring high-quality execution of risk assessments, walkthroughs, testing, documentation, issue management, and stakeholder coordination. The role acts as a key partner to control owners and auditors, supports programme delivery across assigned areas, and provides day-to-day guidance to junior team members while driving timely and accurate execution.

 

We’re seeking a future team member for the role of Vice President to join our Sox and Controls team. This role is located in New York.

 

In this role, you’ll make an impact in the following ways: 

 

•            Own the end-to-end delivery of assigned SOX and ICFR workstreams, including planning, walkthroughs, testing, issue tracking, and reporting against agreed milestones.

•            Perform and coordinate risk assessments to identify significant processes, key controls, and changes in systems, products, or business activities that may impact financial reporting risk.

•            Lead the refresh of narratives, risk and control matrices, flowcharts, and control inventories, ensuring documentation remains current, complete, and audit ready.

•            Evaluate the design and operating effectiveness of key SOX manual controls, including review of evidence, exception analysis, and documentation of conclusions.

•            Coordinate with control owners and business partners to schedule walkthroughs, obtain evidence, resolve questions, and support timely completion of testing activities.

•            Identify control gaps or weaknesses, assess potential impact, and support remediation planning and validation of corrective actions.

•            Serve as a primary liaison for internal and external auditors for assigned reviews, ensuring clear communication and high-quality support through the audit lifecycle.

•            Prepare concise updates on progress, issues, risks, and remediation status for management and support escalation where required.

•            Coach and support Senior Associates and other junior team members on testing methodology, documentation standards, and stakeholder engagement.

 

Core Accountabilities

•            High-quality and timely execution of assigned SOX and ICFR reviews and programme deliverables.

•            Accurate, complete, and well-supported testing workpapers and control documentation.

•            Timely identification, escalation, and follow-up of deficiencies and remediation actions.

•            Strong stakeholder coordination across business, Finance, Technology, and audit teams.

•            Effective support to programme leadership through clear reporting and issue management.

•            Day-to-day guidance and quality oversight for junior team members working on assigned reviews.

 

To be successful in this role, we’re seeking the following: 

Bachelor’s degree in Accounting, Finance, Business, Risk Management, or a related field.

Professional qualification such as CA, CPA, ACCA, ACA, CIA, CISA, or equivalent preferred.

Experience in banking products, financial close, regulatory reporting, or enterprise controls frameworks such as COSO.

Exposure to process improvement, automation opportunities, or control rationalisation initiatives.

Leadership Expectations

Owns delivery of assigned workstreams and follows through on commitments with discipline and urgency.

Applies sound judgment in assessing control issues and escalating matters appropriately.

Builds effective working relationships and acts as a trusted partner to control owners and auditors.

Supports team development by sharing knowledge, reviewing work, and providing practical coaching.

Looks for opportunities to improve efficiency, consistency, and quality in programme execution.

Success Measures

Assigned reviews and testing activities delivered on time and to quality expectations.

Clear, audit-ready documentation and strong evidence standards across workpapers and control files.

Prompt escalation and closure of issues, with effective remediation follow-through.

Positive stakeholder and auditor feedback on coordination, professionalism, and quality of support.

Visible contribution to team capability building and continuous improvement efforts.

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.