Compliance & Control, Senior Vice President
4 weeks ago
Bring your ideas. Make history.
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the "bank of banks" - 97% of the world's top banks work with us as we lead and serve our customers into the new era of digital.
With over 240 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we're approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.
We're seeking a future team member for the role of Compliance & Control - Senior Vice President to join our Pershing Compliance team. This role is located in Manchester - hybrid.
The role reports to the Deputy Head of Compliance, Pershing EMEA with responsibility for supporting the Regulatory Change and Compliance Advisory function within Pershing EMEA (Pershing EMEA includes Pershing legal entities based in Dublin and Jersey, Channel Islands alongside Pershing Securities Ltd).
The Compliance team are responsible for the establishing the policies, protocols, methodologies, and standards in line with the compliance strategy for Pershing EMEA.
Responsibilities:
- Managing a team responsible for assisting the business units to bring them into compliance with complex regulatory and policy requirements. In partnership with business unit managers, responds to and develops compliance reporting. Based on assessments of controls, works with business units to implement improvements including the completion of appropriate documentation when control changes are made.
- Provides guidance and advice to a team of professional staff within a region/jurisdiction responsible for assessing the effectiveness of complex controls that help ensure ongoing compliance with key laws, regulations and policies affecting regional/jurisdictional BNY Mellon businesses.
- Contributes to the development of projects and programs to improve compliance and enhance the control environment.
- May provide guidance to more junior professionals to improve their understanding of compliance, control, and documentation policies.
- Contributes to efforts to develop a strong compliance culture and increase organizational awareness of compliance roles and responsibilities within the assigned region/ jurisdiction.
- Providing advice on regulatory and compliance issues arising, and applying the rules to business and operational models, including SMCR, CASS and MIFIR.
- Responding to queries from business units, service providers and clients, and provide compliance advice as appropriate in the circumstances.
- Participating in projects including identifying, handling, and resolving compliance issues relating to business development.
- Overseeing the implementation of the Horizon Scanning process to provide traceability of Pershing's implementation of regulatory change for UK, Ireland and Jersey, Channel Islands, and future regulatory projects.
- Liaison with Project Management Office to identify specific regulatory change items that may require project resource and to track status and progress of those regulatory projects.
- Prepares comprehensive Management Information pertaining to the Pershing Compliance Environment, for review by the Deputy Head of Compliance.
- Prepares and deliver training to business areas on regulatory requirements.
Contributes to maintenance of Compliance policies and procedures to ensure they remain up to date and fit for purpose.
- Financial Services, Compliance, Risk or Audit background
- Knowledge and experience in interpretation analysing and presenting on laws, regulations and rules issued by regulators.
- Proven ability to work in and build valuable relationships in a multi-jurisdiction group structure and experience of representing Compliance, Risk or Audit in an international group structure.
- Articulate and able to represent Compliance to senior business personnel and external stakeholders with confidence.
- Fortune World's Most Admired Companies & Top 20 for Diversity and Inclusion
- Bloomberg's Gender Equality Index (GEI)
- Human Rights Campaign Foundation, 100% score Corporate Equality Index
- Best Places to Work for Disability Inclusion , Disability: IN - 100% score
- 100 Best Workplaces for Innovators, Fast Company
- CDP's Climate Change 'A List'
- Forbes Blockchain 50
BNY Mellon 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 that can support you and your family through moments that matter.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
Employer Description:
For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.
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