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Role Overview
We are seeking a future team member for the role of Vice President, EMEA Financial Crime Compliance Testing (Investment Management) to join our EMEA Financial Crime Compliance Testing Team within 2LOD Risk and Compliance – Independent Review and Assurance Group. This role is in Manchester – UK.
The Vice President will lead and perform testing reviews related to BNYs businesses and operational processes. This role ensures adherence to applicable laws, rules, regulations, and corporate policies in accordance with the Global Methodology Standard and the Annual Testing Plan for the assigned region or business unit. The incumbent will work with minimal guidance, managing all phases of testing reviews, communicating findings, and facilitating corrective actions to maintain regulatory and corporate compliance.
Variables (Key Responsibilities)
This role is dedicated to the tester specializing in ‘Financial Crime covering Anti-Money Laundering/Know Your Customer, Sanctions, Anti-Bribery and Corruption and Anti-Tax Evasion’ specific to Investment Management who will thoroughly research and interpret relevant laws and regulations, applying a solution-focused approach to the challenges. The tester will leverage BNY’s proprietary AI tool to enhance assurance and testing reviews, accuracy and efficiency while demonstrating strong stakeholder management skills. The tester will promptly escalate significant business risks, internal control issues, or material regulatory breaches to relevant jurisdiction Anti-Money Laundering Officers/Money Laundering Reporting Officers and / or Financial Crime Compliance Officer. They will assist in the development and execution of the testing plan for assigned assessable units or themes. They will ensure timely, high-quality reviews aligned with Global Methodology Standard. This role requires strong collaboration with business units, senior management, and associated stakeholders to support compliance adherence and address findings effectively.
Key Responsibilities
In this role, you will make an impact in the following ways:
- Assist in planning and executing the Annual Testing Program, acting as delegate for the Testing Manager/Team Leader on ad-hoc assignments as needed.
- Lead and conduct reviews efficiently within established timelines, following the Global Methodology Standard and Annual Testing Plan.
- Build and develop expertise in relevant business processes, policies, procedures, and regulatory requirements related to assigned compliance reviews.
- Design and perform tests to assess compliance with corporate and regulatory standards, verifying control processes align with requirements.
- Coordinate and participate in all review phases—planning, fieldwork, walkthroughs, testing—while maintaining clear and thorough documentation.
- Analyze business processes and risks; train and support team members on assigned reviews, methodology, and system use.
- Communicate issues clearly in writing and verbally to stakeholders; facilitate corrective action plans and validate remediation efforts.
- Prepare high-quality reports and presentation materials for management and stakeholders.
- Use MS Office and BNY’s proprietary AI tools for data analysis, visualization, and reporting.
- Recording of all testing activities in Risk and Compliance Testing system.
- Escalate issues promptly and propose remediation solutions.
- Manage multiple priorities, take ownership of tasks, and ensure accuracy and timely completion.
- Collaborate actively within the team, build strong stakeholder relationships across three lines of defense, and represent testing team in internal and client meetings.
- Participate in team and departmental projects.
- Ensure compliance with all BNY corporate policies and training requirements.
- Champion the use of BNY’s proprietary AI tools to improve testing accuracy and operational efficiency.
- Confidently leverage BNY’s proprietary AI tools to streamline compliance tasks, improve documentation accuracy, accelerate reporting, and control assessments, draft risk narratives, identify control gaps, and streamline stakeholder communications.
- Promote adoption of BNY’s proprietary AI tools to enhance productivity and quality.
Expectations:
To be successful in this role, we are seeking the following:
- Education: Preferred secondary/university graduate degree in Business, Compliance, Finance, Accounting, or related discipline, or equivalent combination of education and experience.
- Relevant industry qualifications (e.g., CISI, IMC, CFA, IAPP certifications) are advantageous.
- Financial industry experience, with experience in Compliance & Risk, compliance testing, control testing, and/or internal audit, ideally gained at a large bank, financial institution, public accounting firm, or regulatory body.
- Building AI solutions and automating control testing preferred.
- Proven track record of managing compliance testing or audit processes independently and under tight deadlines.
- Strong analytical skills with ability to identify, collate, and distill relevant information.
- Excellent verbal and written communication skills to convey complex issues succinctly.
- Ability to work independently, prioritize competing demands, and proactively manage challenges.
- Strong interpersonal skills to collaborate effectively with stakeholders across the Three Lines of Defense.
- Sound risk awareness and ability to apply outcome-focused regulation while understanding commercial pressures.
- Attention to detail and commitment to delivering high-quality work within deadlines.
- Ability to train and mentor junior team members on compliance testing methodologies and systems.
- Aptitude for problem-solving, critical thinking, and developing practical solutions.
- Subject Matter Expert in Financial Crime regulatory requirements with strong Financial Crime audit or compliance experience. Proven ability to manage and execute risk-based testing programs or Financial Crime audits. Knowledge of global and various jurisdictional Financial Crime regimes related to Investment Management is an added advantage.
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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.