Vice President, Global Senior Compliance Testing Analyst

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Global Senior Compliance Testing Analyst, BNY Investments

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 and champions of inclusion, 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 Global Senior Compliance Testing Analyst at Vice President level to join the BNY Investments team. This role is located in London, UK.

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

• Planning Testing assignments and executing them in a timely manner in line with the agreed testing plan and BNY Global Testing procedures.
• Conducting the pre-scoping exercise for each Compliance Testing review (including meeting with key stakeholders), ensuring key risks and regulatory requirements of each relevant jurisdiction are considered and incorporated into the scope.
• Documenting and agreeing the scope with the Compliance Testing Manager and CCOs.
• Conducting all field work, evaluating risk and processes and procedures, documenting all testing and sampling.
• Compiling and organising all review documentation and testing output to ensure a clear audit trail.
• Drafting clear and accurate reports and agreeing issues with stakeholders.
• Working though the QA process and liaising with the Compliance Testing Manager, CCOs and the Global Head of Compliance to confirm and document identified issues and actions.
• Chasing of issue / action closures.
• Ongoing input of monitoring work to, and maintenance of the Compliance Testing system (CRAFT).
• Demonstrating clear sense of accountability in performing the role.
• Developing understanding of BNY Investments regulatory high-risk areas, clients and structure through the review work performed and by attending meetings / business updates.
• Representing the Testing team at governance committees and forums as required and/or preparing MI.
• Deputising for Compliance Testing Manager where required on an ad-hoc basis.

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

• Solid Compliance background, preferably in 2nd line risk based / thematic monitoring or 3LOD Internal audit roles.
• Experience of applying monitoring/testing or audit methodologies within financial organisations, preferably within the investment management industry.
• Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions, ESG. Knowledge and understanding of SEC requirements in these areas is also highly desirable.
• Able to build and maintain relationships with key business stakeholders of all levels.
• Able to synthesise, organise and evaluate large amounts of information, think logically, and identify potential risks.
• Well organised self-starter, able to prioritise quickly and adapt to tight timeframes and meet deadlines.

At BNY, our culture speaks for itself, check out the latest BNY news at:

BNY Newsroom

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Here's a few of our recent awards:

• 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.