Regulatory Audit Analyst
BNY Mellon
Greater Manchester, United Kingdom
3d ago

Job Description

Regulatory Audit Analyst(

Job Number : 2106720)


Helps to ensure internal controls over regulatory reporting (ICRR) are sound and effective to ensure compliance with a SOX-like framework.

Assigned regulatory areas are typically moderately complex. Incumbents demonstrate a breadth of knowledge of compliance and control and a thorough understanding of regulatory reporting.

Responsible for MI reporting, reconciliation and administration relating to internal databases


  • Contributes in the execution of the ICRR assessment program in providing thorough and reliable identification of in-scope reports and locations, testing, documentation, and reporting of the effectiveness of regulatory reporting for delivery to the senior management and external committees.
  • Contributes to the establishment of SOX-like compliance for the regulatory reports and functional areas and is responsible for ensuring the implementation of that assessment.

    Undertakes substantive testing on specific disclosures within report forms highlighting improvements in quality and process

  • Contributes to specific examinations to thoroughly document all data flows and attendant controls over selected regulatory returns.
  • To include contribution to exam memoranda, issue identification and follow up of remediation plans.

  • Responsibility of production of internal MI and administration of key tools. This will extend to UAT testing and liaison with IT where necessary.
  • Contributes to the execution and delivery of controls & compliance initiatives to evolve controls framework, risk management approaches and operational efficiency.
  • Builds relationships to influence at all levels of the organization. Liaises with other business units to assess control elements associated with new or potential projects.
  • Collaborates with other stakeholders to develop and implement consensual decisions


    Bachelor’s Degree or the equivalent combination of education and experience is required.

    3-5 years of experience in financial services preferred. Experience of working in control environments would be beneficial.

    Experience in public accounting, SOX testing, regulatory services or shared services is preferred. Experience in using MI tools such as Power BI.

    Progression toward an accounting is preferred but not essential.

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