Principal, Regulatory Oversight Management

2 days ago

London, United Kingdom BNY Mellon Full time

Overview

Regulatory Oversight Management

Reviewing new and amended products within the Markets business for CASS applicability

Reviewing business change within the Markets business for CASS applicability

Managing CASS Governance within the Markets business, including other similar client asset regulations

Managing the CASS external audit and CASS-specific internal reviews for the Markets business

Co-ordinating CASS breach identification and remediation within the Markets business

Co-ordinating CASS training across the Markets business

Skills & Requirements

Thorough knowledge of Financial Services rules and regulations.

Demonstrated problem solving and analytical ability, and strong oral and written communication skills.

Must have the ability to supervise small teams and projects and develop solutions for regulatory oversight management issues.

Analyzes existing legislation, regulatory announcements, and industry practices for first line of defense compliance requirements.

Helps businesses develop procedures to meet compliance requirements.

Implement project plans to ensure compliance with laws, rules and regulations and manage risk.

Provide guidance and training to entry-level employees.

**No direct reports**: provides technical advice/guidance to less experienced team members.

Contributes to the achievement of team objectives.

Supports complex projects and provides insight on interpretation of regulations.

Bachelors degree or the equivalent combination of education and experience is required.

Advanced/graduate degree preferred. 5-7 years of total work experience preferred.

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.

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