Full-Time Senior Specialist, Compliance & Control (Monitoring & Testing)
Job Description
Senior Specialist, Compliance & Control (Monitoring & Testing)
Pittsburgh, PA, United States
ID: 10284
Job Description
Synopsis of Role
Understand and assess the Global Enterprise-Wide risks and controls related to regulatory requirements and/or high focus exposure areas and determine effectiveness of centralized controls, ownership, and transparency of processes and or records are maintained at the Firm level. Document compliance testing results in accordance with BNYM Global Compliance Testing methodology requirements and deliver timely and thorough compliance testing results to the Central Compliance Testing Manager. Collaborate with respective businesses, corporate functions, and Business Compliance Officers regarding the identification of potential Issues. Based on results of those discussions develop appropriate agreed upon Action Plans to remediate Issues identified and Draft Compliance Testing reports for review by the Compliance Testing Manager Assist the Compliance Testing Manager in assessing firmwide current/emerging risks achieved through the following:
Conducting thematic compliance testing reviews in line with the Global Compliance Testing methodology and documentation requirements
Liaising with the business and Senior Management in respect to ongoing monitoring and management of open compliance actions as a result of thematic monitoring
Providing timely and accurate Management Information where relevant to internal stakeholders
Key Responsibilities
Ensure that all compliance testing is completed in accordance with the annual monitoring program on time and to a high standard in line with the global compliance monitoring methodology
Ensure that all findings identified within an allocated review are accurately recorded on CRAFT and that proactive actions are taken to ensure satisfactory resolution of issues raise
Proactively follow-up on outstanding and overdue issues and reflect updates on CRAFT in line with the requirements of the global methodology
Represent Compliance at internal meetings and Committees where required
Represent Compliance on external committees, working groups, and trade body seminars if required to do so
Represent Compliance at client meetings where required to provide updates in respect to testing
Training junior members of the team
Generic Staff Responsibilities
Comply with all BNY Mellon corporate policies and procedures, including HR policies and procedures, applicable to BNY Mellon
Comply with all Security and Health & Safety policies and procedures operating within the business
Complete all mandatory training and ensured any external training undertaken has been recording in the training system and obtain or maintain all qualifications that may be required for you to perform your role.
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.
How to Apply
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