Corporate Finance Compliance Officer

2 months ago

Manchester, United Kingdom BNY Mellon Full time

**Job Title**: Senior Specialist, Compliance and Control

**Location**:Manchester

**Req**:29819

**Grade**:K

**Overview Of BNY Mellon**:
BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellondelivers informed investment and wealth management and investment services in 35 countries. As of March 31, 2021, BNY Mellon had $41.7 trillion in assets under custody and/or administration, and $2.2 trillion in assets under management. BNY Mellon can actas a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation (NYSE: BK).

**Job Purpose**:
The Senior Specialist, Compliance and Control is a member of the Enterprise-Wide Functions Compliance group and supports the firm’s Corporate Finance function as the Compliance Officer for Finance’s regulatory obligations in EMEA and APAC.

**Responsibilities**:

- Independently contributes to the continued development and implementation of the compliance function that is responsible for oversight and challenge of the Finance function, with particular focus on international (EMEA, APAC) regulatory obligations
- Partners with Finance to facilitate compliance with complex regulatory and policy requirements
- Based on assessments of controls, works with Finance to implement improvements and develop documentation when control changes are made
- Analyzes existing and proposed legislation, regulatory announcements and industry practices in order to help Finance develop and implement procedures to meet existing and upcoming requirements
- Contributes to the development of projects and programs to improve compliance and enhance the control environment
- Analyzes control processes to determine whether they are compliant with applicable laws, rules and regulations.
- Reviews the appropriateness of control processes and guides Finance in implementing improvements
- May provide guidance to junior professionals to improve their understanding of compliance, control and documentation policies
- Maintains strong working relationships in order ensure the timely delivery of information and increase the likelihood of favourable conditions for compliance activities
- Uses strong partnerships with Finance managers to respond to collaborate on reports issued by regulatory agencies or audit
- Helps prepare risk-based reviews of existing and emerging regulatory requirements, concerning issues and control gaps
- May contribute to the development of recommendations for corrective action and issue tracking to ensure resolution efforts proceed timely and effectively
- Contributes to the preparation of time sensitive reporting and appropriately escalates issues to management

**Qualifications**:

- Excellent communication skills and experience building and maintaining successful working relations with stakeholders
- Excellent drafting skills
- Able to analyze regulations and assess their applicability to business activity
- Detail-oriented
- Able to quickly adjust to corporate and regulatory changes and shifting priorities
- Bachelor's degree or the equivalent combination of education and experience. Business, Finance or Law degree preferred.
- Finance, Compliance, or Audit background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred
- 7-10 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 teamto do their best work. We support well-being and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

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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