BNY Mellon powers individuals and institutions to succeed in the global economy providing investment management, investment services and wealth management. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation (NYSE: BK).
With a dedicated business presence on six continents and in 35 countries, BNY Mellon delivers global scale at the local level.
The Global Delivery Centre in Wroclaw is a growing location, predominately providing support services to BNY Mellon entities in the areas of fund accounting and investment operations.

Team overview

The Compliance Program is based on a partnership of business managers and control function personnel, and is intended to ensure that the company complies with relevant laws, regulations, market standards, and ethical norms.
Compliance is responsible for all matters relating to regulatory change, working alongside the Legal department. The team also coordinates the submission of regular reports to local regulators, maintains relevant regulatory registers, coordinates the submission of relevant forms, as well as regulatory visits by the regulators, including the gathering of information requested by the regulator.
Other functions of Compliance include testing the controls of the business and other business partners, reviewing transactions for concerning activity or policy violations, as well as developing and conducting training.

Your role

•Supports the day-to-day efforts related to assessing whether employees are in compliance with relevant laws, rules, regulations and the company’s personal securities trade Policy.
•Monitors compliance with the Personal Securities Trade Policy for all employees, reviews transactions and holdings statements manually and reconciles discrepancies working with employees; reviews / reports all potential violations (Red Flags) of the policy
•Under minimal supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues.
•As an experienced team member, suggests changes to improve work processes, counsels employees and business personnel on compliance with policies and guides lower level peers on procedures and reviews the quality of their work.
•With minimal guidance, researches and collects data on compliance and control-related activities.
•Compiles data into a useable format for more senior team members and may conduct basic, preliminary analyses of collected data.
•Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy.
•Independently prepares reports for management on the business line's compliance status and may assign report development tasks to more junior support staff.
•Reviews reports with more senior support roles to confirm accuracy and completeness and checks reporting prepared by more junior support staff.
•Counsels business personnel and management on remaining in compliance or improving their alignment with established controls and compliance goals.

Qualifications

•Preferable the knowledge of the Financial Services Industry, U.S. securities markets and investment instruments and a general knowledge of compliance concepts
•Oral and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
•Bachelor’s Degree or Master’s Degree within Finance/Accounting would be preferred however we are open to see applications from other studies as we provide an extensive training.
•2-3 years banking, product/financial services and/or auditing or compliance experience would be preferred.

Our offer

• Full time contract of employment
• City Centre locations close to main railway station and flexible working arrangements
• Flexible benefits package, including life and medical insurance, health screening, fitness discount programme, employee assistance program
• Award-winning Wellbeing Program supporting you with your unique health and wellbeing needs
• Pension scheme
• On-site childcare and a parental buddy programme
• Exciting opportunities for career and global mobility
• Diverse and inclusive environment
• Employee Referral Program
• Recognition programmes
• A multitude of opportunities to get involved in charity projects and Employee Resource Groups (ERGs)