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23 Sep 2022

Full-Time Senior Specialist, Compliance & Control

BNY Mellon – Posted by BNY Pittsburgh, Pennsylvania, United States

Job Description

BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 35 countries and serving more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team.

  • Independently contributes to the compliance efforts of the Employee Compliance Group..
  • Responsible for assisting the Firm to remain in compliance with complex regulatory and policy requirements related to personal securities trading.
  • In partnership with others, works with vendors and developers to respond to and develop compliance reporting.
  • Based on assessments of controls, works with Employee Compliance and vendor to implement system improvements including the completion of appropriate documentation when control changes are made.
  • Partner with Employee Compliance and Technology to create business requirements that will be used to make system enhancements to internal and vendor-provided technology solutions.
  • Contributes to the development of projects and programs to improve compliance and enhance the control environment.
  • Analyzes control processes to ensure they are in compliance with applicable laws, rules and regulations.
  • Validates the appropriateness of control processes or guides the business in implementing improvements.
  • May provide guidance to more junior professionals to improve their understanding of compliance, control and documentation of policies.
  • Maintains strong working relationships with the business, developers and vendors in order to ensure the timely delivery of system enhancements and increase the likelihood of favorable conditions for compliance activities.
  • Uses strong partnerships to respond requests from the business and audit.
  • Contributes to the preparation of time sensitive reporting and appropriately escalates issues to management.
  • No direct reports, provides guidance to more junior team members, as needed. Contributes to the achievement of team objectives.
  • Must be detail oriented, organized and able to prioritize multiple deliverables.
  • Bachelor‘s degree or the equivalent combination of education and experience is required.
  • Business or Finance degree preferred.
  • 7-10 years of total work experience preferred.
  • Knowledge of security products and experience with both the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and of
  • Experience managing a personal trade compliance application strongly preferred.
  • Financial Services, Personal Trade Compliance or Compliance Technology background and/or experience strongly preferred
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Job Types: Full-Time.

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