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5 Jan 2023

Full-Time Principal, Sanctions Compliance Advisory and Governance Principal, Sanctions Compliance Advisory and Governance

BNY Mellon – Posted by JosephC79 New York, New York, United States

Job Description

Job Description

Who we are:

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 management and investment services in 35 countries. As of March 31, 2020, 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 Follow us on Twitter @BNYMellon or visit our newsroom at for the latest company news.

Role description and opportunities:

Risk and Compliance provide risk and compliance services across all BNY Mellon businesses including the following groups: Risk Management, Compliance, Global Corporate Security, Information Risk Management and Global Business Continuity. Risk Management oversees and delivers risk services and ensures new business risks are reviewed and approved. Compliance helps ensure BNY Mellon’s businesses maintain appropriate processes to comply with applicable laws, regulations, BNY Mellon policies and ethics. In EMEA, Compliance is split into four pillars: Business Compliance, Compliance Testing, Anti-Financial Crime and Architecture and Governance. Business Compliance provide the second line of defense on compliance and regulatory issues for all lines of business in EMEA, assisting the business through regulatory requirements, best practices and regulatory relationships.


  • Responsible for provision of sanctions subject matter support and guidance to the Bank’s business lines and transformation programs, as required
  • Provision of support to sanctions regulatory requirements
  • Interact with the Office of Foreign Assets Control and other related parties
  • Participate in various governance committees
  • Accountable for supporting the Bank in making informed decisions and judgments about any sanctions-related legal, regulatory, or reputation risks
  • Act as a point of escalation for sanctions related queries, incidents, and potential breaches
  • Proactively develop initiatives to better manage sanctions risk for the Bank
  • Support the business in enhancing organizational and control structures suitable for facilitating intended transactions in a well-defined compliance environment
  • Responsible for development of sanctions training content and provision of guidance on specialist or high-risk training programs

A successful candidate should ideally have these qualifications:

  • Bachelor’s degree required. Law degree preferred.
  • 5-7 years of combined work experience within Financial Services, Audit, and/or Compliance is required.
  • Subject matter expert knowledge of Office of Foreign Assets Control regulations as well as knowledge of non-U.S. regulations related to sanctions

How to Apply

Job Types: Full-Time.

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