Vice President, Auditor, Global Financial Crimes and Compliance

Vice President, Auditor, Global Financial Crimes and Compliance (GFC&C)

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 Vice President, Auditor, Global Financial Crimes and Compliance (GFC&C) to join our Internal Audit team. This role is in either in New York, NY or 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).
• 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.

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

• 7-10 years in banking/financial services, leading risk-based audits, thematic reviews, and global remediation programs across the U.S. and Europe; proven ability to embed data-driven testing and AIassisted controls to strengthen assurance, coverage, and issue validation.
• Audit and compliance experience across Financial Crime (AML, Anti-Bribery & Corruption, Fraud) with a focus on assessing surveillance systems.
• 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: AML and economic sanctions scenario development, model calibration and threshold governance, alert QA, false positive reduction, coverage mapping, data quality controls, auditreadiness documentation, and runbook management; complemented by audit validation of models (feature engineering reviews, drift monitoring, performance thresholds, and explainability testing).
• Strong communication and teamwork skills.
• Strong knowledge at translating complex analytics/AI outcomes into clear, riskbased 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; handson experience with audit methodologies, continuous monitoring, and issue validation-integrating analytics/AI controls (data lineage, model inventory and approvals, humanintheloop oversight, and ongoing performance monitoring) to enhance assurance quality.
• Selfstarter with a high degree of ownership; thrives in fastpaced 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 highrisk 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), bigdata/ML ecosystems (Databricks, Spark), and familiarity with AIenabled 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.

Preferred Experience (nice-to-have):

• 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.

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• America's Most Innovative Companies, Fortune, 2025
• World's Most Admired Companies, Fortune 2025
• "Most Just Companies", Just Capital and CNBC, 2025

Our 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/Protected Veterans.

BNY assesses market data to ensure a competitive compensation package for our employees. The base salary for this position is expected to be between $69,000 and $160,000 per year at the commencement of employment. However, base salary if hired will be determined on an individualized basis, including as to experience and market location, and is only part of the BNY total compensation package, which, depending on the position, may also include commission earnings, discretionary bonuses, short and long-term incentive packages, and company- sponsored benefit programs.

This position is at-will and the Company reserves the right to modify base (as well as any other discretionary payment or compensation) at any time, including for reasons related to individual performance, change in geographic location, Company or individual department/team performance and market factors.