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15 Jun 2022
Full-Time Newton – Specialist, Regulatory Oversight Management
Job Description
Newton Investment Management is one of BNY Mellon Investment Management’s specialists, and they are a global investment house with expertise in a range of disciplines, including global, regional and emerging-market equities, multi-asset strategies, absolute return investing and global bonds. A global, thematic approach to investment helps them achieve long-term perspective on global financial markets and economies and identify areas of long-term risk and opportunity. Their belief is that responsible investment is better investment for clients, and they consider ESG (environmental, social and governance) issues in relation to every company in which they invest. Newton is part of BNY Mellon Investment Management, one of the world’s largest investment managers.
What’s on Offer?
Newton is a professional, friendly, and collegiate place to work offer a number of benefits including flexible working hours and opportunities to progress. The firm looks to attract individuals who are keen to work as part of a team, in a meritocratic environment, and who are driven to help make the organization a great place to work. Newton employees are bright, inquisitive, thoughtful, and collaborative. They are highly motivated to deliver performance and service to clients. Newton prides itself on being an employer of choice, with a commitment to diversity.
The Role
Provide advice, support and oversight for the first line of defense through investment related systems, controls and conducting surveillance activities at the house level from a first line perspective.
- Act as first reviewer of all exceptions arising from the surveillance tools from a market abuse perspective. This will include post trade and electronic communications surveillance. Where required, investigate exceptions through to full resolution and escalate if required.
- Conduct surveillance from a market abuse perspective on high risk events.
- Conduct surveillance on trades as first line to ensure the firm is achieving best execution for its clients.
- Provide data, reports, analysis and management information to senior management/committees/groups/sub-groups
- Write, disseminate and maintain documented processes for tasks as well as house and team documentation
- Assist in the development of enhancing existing surveillance controls.
- Maintaining awareness of key EU / FCA / SEC regulatory updates and analyzing their impact upon market abuse and best execution development particularly around surveillance activities. Investigate work relating to OpRisk events and liaise with the Operational Risk team.
- Liaise with Internal Audit, External Audit and Compliance Advisory and Monitoring as required.
Requirements:
Advanced/graduate degree preferred. 3-5 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 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.
How to Apply
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