Specialist, Compliance

4 months ago


London, United Kingdom The Bank of New York Mellon Corporation Full time

**_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 Specialist, Compliance & Control, EMEA Markets to join our Markets Compliance team. This hybrid role is located in Canary Wharf and Queen Victoria Street, London.

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

- To ensure that Markets meets the corporate requirements of the group as well as the strategic requirements of the Bank of New York Mellon within the specific remit for areas of responsibility.
- Responsible for working with business lines and business partner functions to review the impact of regulatory change and to participate in working groups as the Compliance Specialist for Markets
- Working with other Compliance professionals across the broader EMEA Compliance team to ensure co-ordinated and complete delivery of services and effective communication of relevant information and observations.
- Engaging with the Markets business and compliance functions in the regional offices, US and APAC Responsible for recording and preparing escalation data on Compliance issues impacting Markets in line with Group and local processes
-
- Representing Markets Compliance function and providing appropriate challenge at relevant internal and external meetings where required To ensure that the areas of responsibility of the role are running efficiently and effectively and in a controlled manner, including reflecting appropriate apportionment of responsibilities, segregation of duties and controls to prevent conflicts of interest.

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

- Preferably degree education and/or industry qualifications
- Proven compliance experience, covering wholesale markets compliance and general compliance, specifically Fixed Income and Equities
- Experience working in a compliance function within a global organisation
- Ability to deliver multi-mode communications that convey a clear understanding of the unique needs of different audiences
- Detailed knowledge of FCA, MiFID, MIFIR, EMIR and MAR rules and regulatory requirements

**At BNY Mellon, our inclusive culture speaks for itself. Here’s a few of our awards**:

- 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’

**Our Benefits**:
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.

**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, and offer a range of family-friendly, inclusive employment policies and employee forums.



  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Senior Compliance SpecialistWe are seeking a highly skilled Senior Compliance Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for providing management information and attending relevant internal meetings, responding to queries from across the business relating to SMCR matters, advising business...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistWe are seeking a highly skilled Compliance Officer Legal Specialist to join our team at Compliance Professionals. As a key member of our compliance function, you will play a critical role in ensuring our client's compliance with relevant regulations and laws.Key Responsibilities:Develop and implement compliance policies and...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistWe are seeking a highly skilled Compliance Officer Legal Specialist to join our team at Compliance Professionals. As a key member of our compliance function, you will play a critical role in ensuring our client's compliance with relevant regulations and laws.Key Responsibilities:Develop and implement compliance policies and...

  • Compliance Specialist

    2 weeks ago


    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a Compliance Specialist to join our team at AJ FOX COMPLIANCE. As a Compliance Specialist, you will play a key role in ensuring that our firm meets all regulatory requirements and maintains a strong compliance culture.The ideal candidate will have strong analytical skills, an eye for detail, and a drive to embrace greater responsibilities. You...


  • London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. **THE RESPONSIBILITIES**: - Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. -...


  • London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Risk SpecialistWe are seeking a highly skilled Compliance Risk Specialist to join our team at AJ FOX COMPLIANCE. As a key member of our compliance team, you will be responsible for identifying and mitigating compliance risks across the firm.Key Responsibilities:Act as a key point of contact for compliance queries, ensuring all regulatory...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Monitoring Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for assisting in the development and annual planning of the Compliance Monitoring Plan, independently scoping and planning all assigned reviews, and executing all assigned monitoring...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistOur client is a leading multi-national energy company seeking a Compliance Officer Legal Specialist to join their team. As a key member of the compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistOur client is a leading multi-national energy company seeking a Compliance Officer Legal Specialist to join their team. As a key member of the compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistOur client is a leading multi-national energy company seeking a Compliance Officer Legal Specialist to join their team. As a key member of the compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistOur client is a leading multi-national energy company seeking a Compliance Officer Legal Specialist to join their team. As a key member of the compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Financial Crime Compliance SpecialistWe are seeking a highly skilled Financial Crime Compliance Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for performing compliance controls on the activity of the Company according to the Company's Financial Crime CMP.Key Responsibilities:Implement and update the...

  • Compliance Specialist

    2 weeks ago


    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Career Advancement OpportunityWe are seeking a highly motivated and detail-oriented Compliance Specialist to join our team at AJ FOX COMPLIANCE. As a key member of our compliance department, you will play a vital role in ensuring the firm's continued success by identifying and mitigating regulatory risks.Key Responsibilities:Act as a primary point...

  • Compliance Specialist

    2 weeks ago


    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job OverviewWe are seeking a highly motivated and detail-oriented Compliance Specialist to join our team at AJ FOX COMPLIANCE. As a key member of our compliance team, you will play a vital role in ensuring that our firm operates in accordance with all relevant laws and regulations.Your primary responsibilities will include:Providing expert advice on...


  • London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a talented Regulatory Compliance Specialist to join our team at AJ FOX COMPLIANCE. This role offers a fantastic opportunity for a qualified lawyer with regulatory compliance experience to broaden their skill set and work alongside a small team consisting of a compliance assistant, senior compliance lawyer, and the new head of risk who is also...


  • London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Role OverviewAJ FOX COMPLIANCE is seeking a skilled Compliance Risk Specialist to support the Compliance team in their London office. The ideal candidate will have experience in law firm risk and compliance, a solid understanding of AML and counter-terrorist financing, and familiarity with using AML databases.Key ResponsibilitiesPerform risk...

  • Compliance Specialist

    4 weeks ago


    London, United Kingdom Compliance Professionals Full time

    Compliance Associate RoleOur client, a leading online retail brokerage, is seeking a skilled Compliance Associate to join their team. As a key member of the Compliance Professionals organization, you will play a vital role in ensuring the company's compliance with regulatory requirements and internal policies.Key Responsibilities:Provide expert advice to the...

  • Compliance Specialist

    4 weeks ago


    London, United Kingdom Compliance Professionals Full time

    Compliance Associate RoleOur client, a leading online retail brokerage, is seeking a skilled Compliance Associate to join their team. As a key member of the Compliance Professionals organization, you will play a vital role in ensuring the company's compliance with regulatory requirements and internal policies.Key Responsibilities:Provide expert advice to the...