Senior Vice President, SOX Control & Compliance Manager

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.

 

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

• 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.

Leadership Expectations

• 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.

Success Measures

• SOX and ICFR milestones completed on time and to expected quality standards.

• Reduction in repeat findings, documentation gaps, and overdue remediation items.

• Positive audit and stakeholder feedback on programme management, documentation quality, and control challenge.

• Improved control maturity, standardisation, and sustainability across assigned processes.

• Effective escalation and resolution of key control issues impacting financial reporting.

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.