Regulatory Oversight Specialist
3 weeks ago
About the Role:
We are seeking a highly skilled and experienced Asset Servicing Regulatory Oversight Specialist, Vice President to join our Asset Servicing Regulatory team. This role is located in Manchester, UK - HYBRID.
Key Responsibilities:- Analyse existing legislation, regulatory announcements, and industry practices for first line of defense compliance requirements.
- Support the business to develop adequate processes to meet compliance requirements. Implement plans to ensure compliance with laws, rules and regulations and manage risk.
- Review the articulation of controls and how they mitigate regulatory risks and contribute to the development of actions plans to address control weakness / enhancements
- Supports complex change projects and provides insight on implementation of regulation and process improvements
- Manage the Senior Management Regime framework (SMR) for UK Asset Servicing and drive the agenda/collate material for the associated governance meetings
- Own the framework for regulatory control including evidencing compliance, supporting the senior manager and certified staff in meeting their obligations and working to continuously enhance the control environment
- Represent the business in legal entity control forums
- Assists business unit managers in response to reports issued by regulatory agencies or audit
- Partner and influence senior management, both within ASD and other LOBs to ensure ongoing compliance, as well as legal, risk and compliance at all levels on any regulatory matter with presence and credibility
- Investigate breaches to identify root cause and actions needed to reduce the risk of recurrence
- Experience handling / managing complex documentation and business workflow
- Process oriented "change agent" mindset
- Ability to review, challenge and improve control processes, identifying data driven solution and opportunities for automation
- Ability to think and execute quickly in a fast-moving environment with proper risk lens and balance
- Ability to manage, work with and influence across the organization including senior management
- Ability to work under time constraints
- Excellent communication skills both written and oral.
- Demonstrated problem solving and analytical ability applied to regulatory matters
- Experience of either regulatory analysis or legal analysis in the financial services space would be considered a plus.
- Strong interpersonal skills, influencing skills, control focus.
- Must have ability to deal effectively with senior managers.
At BNY Mellon, our inclusive culture speaks for itself. We are a global leader in investment management and investment services, with a strong commitment to diversity, equity, and inclusion. We offer a range of benefits, including competitive compensation, benefits, and wellbeing programs, as well as opportunities for professional growth and development.
We are proud to be recognized as one of the world's most admired companies, and we are committed to making a positive impact in the communities we serve.
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