Senior Principal

3 weeks ago

City of London, United Kingdom BNY Mellon Full time

Job Purpose: (What the job role involves)

Conduct and culture has been considered as a strategic priority within EMEA over a number of years. There is an opportunity to expand best practice to other regions within BNY Mellon International, whilst maintaining the required focus in the UK.

The role will reside in the first line of defence and report to the Executive Manager, Business Control with matrix reporting to the SMF1 for BNY Mellon (International) Limited and the SMF19 of London Branch.

The BNY Mellon Conduct & Culture Senior Principal has responsibilities for the oversight of the Conduct & Culture Framework as it applies to BNY Mellon operating entities outside the US. It is instrumental in overseeing and forming a holistic view of conductand culture, promoting appropriate awareness and ensuring that it is properly assessed / measured, controlled and governed. The incumbent will play a key role in supporting the Executive Manager, Business Control in determining root causes and trends in conductrelated matters and its impact on the control environment, supporting the operating entities within BNY Mellon International.

The Conduct & Culture Senior Principal has particular responsibility for overseeing the compliance of the UK entities (the Bank of New York Mellon London Branch and BNY Mellon (International) Ltd) with the framework, applicable policies and regulations,ensuring that it is properly assessed / measured, controlled and governed, meeting FCA requirements.

The Conduct & Culture Senior Principal is responsible for chairing the EMEA Conduct & Culture Council and producing related reporting for International Senior Risk & Control Committee, and other governance forums as well as supporting regulator interaction,audits and compliance testing on conduct & culture matters.

The Conduct & Culture Senior Principal will be responsible for supporting the activities of the EMEA Conduct & Culture Champions, as well as extending these initiatives as appropriate into other regions within BNY Mellon International.

**Responsibilities**:

- Responsibility for the maintenance of a robust Conduct & Culture framework which is consistent with the enterprise wide approach and compliant with relevant BNY Mellon policies, values and behaviours and applicable regulations
- Support the lines of business to further embed key controls over Conflicts of Interest and Inducements
- Further embed measurement of conduct risk in collaboration with the global ethics teams, operating entity teams, the business and other key stakeholders in Risk and Compliance
- Further embed ESG and Diversity, Equity & Inclusion within conduct & culture strategy and metrics
- Collaborate with global teams on the development and implementation of relevant tools
- Chair the EMEA Conduct and Culture Council to provide oversight of conduct and culture matters, root causes and remediation required across the region
- Legal entity reporting and responses to the regulators on conduct and culture related topics in collaboration with Risk and Compliance
- Periodic refresh of the conduct risk metrics to reflect the full spectrum of market, client and personal conduct risk.
- Reporting to the International Senior Risk and Control Committee on a quarterly basis and UK legal entities on annual basis. Providing support to EMEA legal entities for reporting to their governing bodies
- Advise on relevant Tier II and III policies and procedures in line with global policies
- Timely implementation of remediation of audit, compliance monitoring and self-identified issues
- Build effective relationships with global and legal entity stakeholders and the 1LOD control teams to facilitate efficient and effective conduct and culture controls across BNY Mellon International
- Interact with the Communications and training teams to develop effective awarenesss and training programmes
- Work closely with the Executive Manager, Business Control to identify opportunities for process and control improvements and best practice adoption across the the wider organisation
- Industry liaison and participation in industry working groups

**Requirements**:

- Resides in the business and manages first line of defense regulatory oversight management efforts as they relate to complex regulatory and policy requirements, program and project development.
- Thorough knowledge of Financial Services rules and regulations.
- Solid understanding of Conduct Risk Management and best practices.
- Excellent problem solving, analytical ability, oral and written communication skills.
- The ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving.
- Ability to effectively deal with senior management as well as Regulators
- Strong interpersonal skills to influence and impact business decisions over which the incumbent has no direct authority.
- Bachelor’s degree (or equivalent) extensive experience within financial services
- Confident, self-starter with the ability to work with mínimal supervision.
- Takes initiative, accepts challenges, grows business acumen, and establishes/sustains internal/external networks and relationships in a complex organisational environment

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans.

Our ambition is to build the best global team - one that is representative and inclusive of the diverse talent, clients and communities we work with and serve - and to empower our team to do their best work. We support wellbeing and a balanced life, andoffer a range of family-friendly, inclusive employment policies and employee forums.

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