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.
At BNY Mellon, compliance is everyone's responsibility. Accordingly, compliance and ethical standards are core components of all business functions, and are fundamental to the culture and values of the company. All decisions and actions on behalf of the company must adhere to the highest standards of integrity.
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.
- Supports the day-to-day efforts related to assessing whether employees globally are in compliance with relevant laws, rules, regulations and the company’s personal securities trade 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.
- 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.
- Counsels business personnel and management on remaining in compliance or improving their alignment with established controls and compliance goals.
- Provides policy support and guidance to employees globally via email and phone/helpline.
- With minimal guidance, process classification changes to support the global policy.
- With minimal guidance, process violation and warning memos to employees found to be in breach of the policy.
- 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.
- Minimum 1 year banking, product/financial services and/or auditing or compliance experience would be preferred.
- Full time contract of employment
- Working hours 14:00 to 22:30
- Life and medical insurance, pension scheme
- Diverse and inclusive environment strengthened with your unique perspective
- Award-winning Wellbeing Program supporting you with your individual health and wellbeing needs
- Parental support, including back-up childcare, on-site kindergarten and buddy program
- Structured career development and possibilities for and global mobility
- Exciting opportunities for career and global mobility
- Well-defined recognition programs helping you build your personal brand
- City Centre locations close to main railway station and flexible working arrangements
- Flexible benefits package including fitness discounts and cafeteria system
- Employee Referral Program
- A multitude of opportunities to get involved in community and charity projects through Employee Resource Groups (ERGs)
For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.