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20 Oct 2023
Full-Time Vice President, Compliance Officer – Corporate Finance
Job Description
With over 239 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we’re approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.
The Vice President, Compliance Officer – Corporate Finance is a member of the Bank Regulatory and Finance Compliance Group and supports the firm’s Corporate Finance function as the Compliance Officer for Finance’s regulatory obligations. This role is located in Lake Mary, FL or Pittsburgh, PA – HYBRID.
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 U.S. 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
- Able to understand the control environment quickly and analyze 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 favorable conditions for compliance activities
- Uses strong partnerships with Finance managers to respond and collaborate on reports issued by regulatory agencies or audit
- Understands underlying risks and 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 with the ability to provide concise briefings capturing key points
- Able to analyze regulations and assess their applicability to business activity
- Detail-oriented with the ability to communicate information clearly and effectively
- Able to quickly adjust to corporate and regulatory changes and shifting priorities
- Audit, Compliance or Controls related investigation experience
- Bachelor‘s degree or the equivalent combination of education and global experience in a global business environment. Business, Finance or Law degree preferred.
- 5+ years of work experience with Compliance, audit, or finance 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.
- Audit, Compliance or Controls related investigation experience.
- Proven background of working in a complex banking or financial services organization
- Knowledge of US Financial Services Regulations.
How to Apply
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