Job Description

Senior Specialist, Compliance & Control

Bring your ideas. Make history. 
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world’s top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the “bank of banks” – 97% of the world’s top banks work with us as we lead and serve our customers into the new era of digital.

With over 238 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.

We’re seeking a future team member for the role of Senior Specialist, Compliance & Control to join our Risk and Compliance – XYZ (e.g. Americas) Compliance Testing Team.

In this role, you’ll make an impact in the following ways:

• Act as a delegate for the Compliance Testing Manager in ad-hoc assignments and preparation of meeting materials and presentations
• Assist Compliance Testing Manager with production of the Annual Compliance Testing Programme
• Work independently conducting Compliance Testing reviews with efficiency, timeliness, technical accuracy and of high quality with appropriate guidance
• Enhance BNYM business’ design and effectiveness of controls surrounding adheres to applicable laws under review
• Understand key regulations in scope to design applicable tests to be performed to assess adherence of the business to business, corporate and regulatory requirements
• Coordinate and attend meetings for the planning and fieldwork walkthroughs, document

meetings and testing in accordance with Compliance Testing Guidelines

Creation and distribution of announcement memo and report under the supervision of the CTM/CTM delegate

• Communicate effectively in both verbal and written all types of finding identified and facilitate the development and agreement of corrective Action Plans with the business
• Perform validation of business remediated Findings by ensuring Action Plans are completed in accordance with agreed upon actions identified on the report. t Additionally, proactively chase outstanding and overdue Findings and reflect updates on CRAFT in line with the requirements of the global Compliance Testing methodology
• Assist/supervise junior/less experiences team members in the execution of their CT review
• Liaise with the business and Senior Management in respect to ongoing monitoring and management of open compliance actions as a result of thematic testing.
• Ensure that all steps of Compliance Testing reviews are accurately recorded on CRAFT
• Ensure that all compliance testing is completed in accordance with the annual testing program on time and to a high standard in line with the Global Compliance Testing Methodology.
• Represent Compliance at internal meetings and Committees where required

To be successful in this role, we’re seeking the following:

Secondary/University Graduate in business, compliance, finance, accounting, or related discipline

• Minimum of 7-10 years financial industry experience with minimum 5 years of Compliance & Risk, compliance testing, control testing and/or internal audit experience with a solid understanding of the key steps of testing review/audit processes at a large bank, financial institution, public accounting firm or regulatory body
• Solid knowledge, understanding and awareness of XYZ laws, rules and regulations
• Ability to work independently under tight deadlines and competing priorities and being proactive in terms of planning and execution of reviews, raising and escalating challenges or concerns to team leaders and managers in a timely manner
• Ability to work with impacted stakeholders across the Three Lines of Defense.
• Superior interpersonal and communication skills.
• Ability to understand and apply outcome-focused regulation and have a sound risk awareness whilst maintaining an awareness of commercial pressures on the firmAt BNY Mellon, our inclusive culture speaks for itself. Here’s a few of our awards:

• Fortune World’s Most Admired Companies & Top 20 for Diversity and Inclusion
• Bloomberg’s Gender Equality Index (GEI)
• Human Rights Campaign Foundation, 100% score Corporate Equality Index
• Best Places to Work for Disability Inclusion, Disability: IN – 100% score
• 100 Best Workplaces for Innovators, Fast Company
• CDP’s Climate Change ‘A List’

Our Benefits:

BNY Mellon offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves that can support you and your family through moments that matter.

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer – Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

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

Job Categories: Equal Opportunities. Job Types: Full-Time. Salaries: Not Disclosed.

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