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BNY Mellon Corporation

Principal, Compliance & Control

BNY Mellon Manchester, United Kingdom
Posted 3 days ago Permanent Competitive
Overview
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 Mellon delivers 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 act as 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). Additional information is available on www.bnymellon.com . Follow us on Twitter @BNYMellon or visit our newsroom at www.bnymellon.com/newsroom for the latest company news.

Job Description:

Compliance Issues Management - Oversee execution and continuous improvement of the Compliance Issue Management and Escalation Policy. Specifically:
  • Enhances and embeds the Issue Management & Escalation framework, including:
    • Establishing defined criteria for issue identification, assessment, documentation, escalation, tracking, resolution, and validation;
    • Establishing key control and risk indicators for issue management;
    • Defining management information requirements relative to incidents and remediation activities; and
    • Monitoring the timely completion of any action plans created as part of this process.
  • Leads the development of training and education to ensure managers in the assigned business units are equipped with the education to identify and judge the severity of risks and issues. Collaborates with the business unit to develop the appropriate training materials.
Compliance Lessons Learned - Responsible for ownership and oversight of the Compliance Lessons Learned procedures, including defining the process for socialization of lessons learned identified from external events and/or internal issues.

General
  • Contributes to the development of projects and programs to improve compliance and enhance the control environment.
  • Analyzes control processes to ensure they are in compliance with all applicable laws, rules and regulations. Validates the appropriateness of control processes or contributes to the development of improvements. Guides the assigned business units in implementing improvements.
  • Responsible for assisting the business units by developing strategies to bring them into compliance with complex regulatory and policy requirements.
  • Promote awareness, engagement, and partnership with the First Line.
  • Drive consistency and clarity in messaging and requirements cascaded from Compliance.
Qualifications:
  • Extensive Compliance / Legal experience
  • Ability to work under time pressure in calm, professional manner in an environment of change
  • Strong analytical skills, problem-solving ability and attention to detail
  • Excellent communication and interpersonal skills
  • The ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving
  • Strong planning skills
  • Collaborative approach and ability to work well within a team environment
  • Proven sound judgment
  • Ability to take on and complete tasks with minimal oversight
  • Ability to drive compliance requirements in the business and achieve results
  • Experience of working in a global firm an advantage
  • Experience of working with regulatory bodies an advantage
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 well-being and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

Employer Description:

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.

Job ID  30840
ABOUT COMPANY
Boston, United States
45969 Employees Investment Banking / M & A
BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecy...
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