Full-Time Specialist, Regulatory Oversight Management
Job Description
Team Description
The BNYM SA/NV CAOO department is taking care of the governance oversight to ensure on-going compliance with regulations and policies related to Client Asset Safety across in-scope BNYM SA/NV products/services and associated business lines and partners. It is also responsible for dealing with regulators and external auditors, including the management of responses, requests for information, examinations etc.
Job Purpose
Contribute to the effective governance of BNYM SA/NV by supporting the Client Asset Safety Officer (who reports to the COO (Chief Operations Officer), a member of the BNYM SA/NV Executive Committee) in overseeing effectiveness of BNYM SA/NV systems, processes and controls, in order to ensure compliance with Client Asset Safety Laws, Regulations and internal Policies across in-scope BNYM SA/NV products and associated businesses lines and partners.
Responsibilities
- Support and control adherence to escalation procedures and reporting guidelines to be followed by the business lines.
- Track data/information and publish regular and ad-hoc reporting to the governing bodies of BNYM SA/NV in respect of Client Asset Safety matters.
- Support the review and impact assessment of regulatory and/or business changes in relation to Client Asset Safety.
- Support the maintenance and enhancement of the legal entity related governance framework for Client Asset Safety.
- Report on BNYM SA/NV’s performance against Client Asset Safety risk appetite.
- Assist with the maintenance of the BNYM SA/NV custody models and with the validation of Assets under Custody (AuC) reporting, whenever required.
- Support the oversight of activities outsourced by the BNYM SA/NV Client Asset Safety Team.
- Provide assistance for managing projects with a Client Asset Safety component
- Contribute to the effective governance of BNYM SA/NV (including its Branches).
- Work in close collaboration with the 3 Lines of Defence, as well as 3rd-parties like Auditors and Regulators.
Experience
- Bachelor’s or Master’s degree in Economy, Finance or Business Administration
- A minimum of 5 years of experience in a related field
- Good knowledge/understanding of the local/European regulatory environment
- Solid understanding of the financial services industry
- Good PC skills (Microsoft 365 tools)
- Good report writing and presentation skills
- Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high level of accuracy
- Effective interpersonal and communication skills
- Experience in working relationships with Compliance, Internal Audit, Managers and Senior Managers
- Experience in working with 3rd-parties like Auditors, as well as Regulators
- English fluency
How to Apply
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