Vice President, SOX Control & Compliance

Job Description

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.

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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 Pittsburgh.

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

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

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•            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.

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

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

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

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

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

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

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

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Core Accountabilities

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

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

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

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

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

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

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

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

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

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

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

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Leadership Expectations

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

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

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

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

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

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Success Measures

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

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

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

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

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Visible contribution to team capability building and continuous improvement efforts.

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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.