|
Bring your ideas. Make history.
BNY 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 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 #LifeAtBNY is all about. We're seeking a future team member for the role of Vice President to join our Core Compliance team. This role will be based in Lake Mary (Hybrid - Flex model) Team Description: The Core Compliance function is one of the key functions of the Compliance and Ethics Management Framework. The Core Compliance function, inclusive of its component parts: Compliance Risk Assessment, Regulatory Change Management, Surveillance, Monitoring and Ethics.
- Market Abuse Risk Assessment: An assessment of the inherent risk and control environment with respect to Market Abuse risks against laws, rules, and regulations resulting in identification of the highest risks to the Firm.
- Regulatory Change Management: New/Proposed/Amended laws, rules, regulations, standards, and certain guidelines/guidance that create obligations for Firm legal entities, LOBs or corporate functions.
- Compliance Surveillance: Independent check and challenge over in-scope businesses and functions through the continuous execution of primary and Quality Assurance (QA) trade, voice, and e-communications surveillance.
- Compliance Policies: Defining Surveillance / Market Abuse policy requirements and overseeing and reporting on the timely maintenance and implementation of the policy framework.
Outputs from these Core Compliance activities assist the Compliance Senior Leadership Team and the Firm's Chief Compliance and Ethics Officer (CCEO) in maintaining an effective Compliance Risk Management Program. Responsibilities: In this role, you will report to the Head of Surveillance Quality Assurance Lead, and you'll make an impact in the following ways:
- Perform the execution of complex and/or large Compliance Governance & Control validation activity for all Corporate BNY Market Abuse Framework uplifts/remediation activity in alignment with validation requirements articulated in the underpinning procedures.
- Review and verify that the activities of Core Compliance functions align with the overall Market Abuse strategy and are sustainable and repeatable as applicable.
- Review, check, challenge and validation that the documentary evidence standards are aligned to the closure standards in place for uplift and remediation.
- Contribute to the development of projects and programs to improve compliance and enhance the control environment with respect to Market Abuse risk.
- Assist in validating that controls and implementation of new control procedures are clearly documented in response to uplift and remediation actions.
- Stakeholder engagement and liaising with different Platforms Business Units/Core Compliance functions to manage execution and completion of validation activities as and when required.
- Active stakeholder management on any rejected validation activity and progression through secondary validation activity
- Represent Core Compliance on validation activity, including execution status, issues identified and standard development.
Requirements:
To be successful in this role, we're seeking the following:
- Preferred experience: minimum of 5-7 years industry experience out of which at least 3 years should be working in Compliance / Audit or Quality Assurance function (experience in Capital/Global Markets and/or prior surveillance experience would be preferred).
- Good knowledge of the financial services regulatory environment is essential.
- Excellent spoken and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
- Advanced MS Office skills.
- Good analytical skills with capability of identifying, collating and distilling relevant information and presenting to senior stakeholders.
- Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high level of accuracy.
- Good interpersonal communication, and negotiation skills.
- Ability to work effectively in a fast-paced environment, with the ability to prioritize and balance competing, time sensitive demands.
At BNY, 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 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 is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
|
BNY Mellon
Jun 29, 2025