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.

Team Description

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.

Financial Crimes Compliance ("FCC") focuses on anti-money laundering/countering terrorist financing regulatory matters, including anti-bribery and anti-tax evasion compliance. FCC function includes testing the AML/CTF controls of the business and other business partners, reviewing transactions for concerning activity or policy violations, as well as developing and conducting relevant training.

Responsibilities:

• Supports the day-to-day efforts related to assessing whether assigned areas are in compliance with relevant laws, rules, regulations and policies and that control mechanisms are being deployed as expected.
• With moderate supervision, researches and collects data on compliance and control-related activities.
• Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy.
• Prepares reports for management on compliance status and reviews reports with more senior roles to confirm accuracy and completeness.
• Identifies issues and escalates to more senior staff.
• Produces standard quantities of data to support risk based reviews of existing and emerging regulatory requirements.
• Contributes to the achievement of team objectives.

Requirements:

• Prefer knowledge of the financial services industry, surveillance and/or forensics and related 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/Forensics would be preferred; however, we are open to see applications from other studies as we provide an extensive training.
• 3 - 5 years of total work experience preferred. Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.

Employer Description:

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.