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Manages multiple teams of professional staff within a region/jurisdiction responsible for overseeing and managing complex, specialized administrative, operational and financial affairs of the Compliance function within the assigned region/jurisdiction. Directs the team's assessment of regulatory and policy requirements in order to develop programs and projects to improve regional/jurisdictional compliance, and presents program and project recommendations to more senior managers. Appropriately advises on strategy changes to further improve the region's/jurisdiction's ability to remain in compliance with or become compliant with applicable laws, policies and regulations. Uses growing influence and experience within the specialty area of expertise to increase the likelihood that compliance strategy changes are appropriately implemented in a timely manner by the regional/jurisdictional business units. Contributes to the establishment of the overall compliance strategy and is responsible for appropriately implementing the strategy within the assigned region/jurisdiction. Guides the team's detailed analysis of existing and proposed legislation, regulatory announcements and industry practices within the region/jurisdiction in order to identify opportunities for alignment with the global compliance strategy and areas where region-specific strategies are needed. May lead teams of professionals specializing in a compliance focus. Directly influences the ways in which business units within the region/ jurisdiction implement approved procedures to meet requirements to ensure alignment with industry best practice methodology. Contributes to the assessment and validation of specialized control processes to ensure compliance with laws, rules and regulations. Contributes to efforts to develop a strong compliance culture and increase organizational awareness of compliance roles and responsibilities within the assigned region/ jurisdiction. Uses strong relationships with senior business unit managers to increase the likelihood of timely completion of compliance activities and responses to reports issued by regulatory agencies or audit. Maintains strong relationships with regulators and government officials and appropriately escalates issues raised by these contacts to more senior managers. Independently addresses issues with a lower risk level for the organization. Recruits, directs, motivates and develops professional staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team and/or lead. Provides feedback at the most critical times. Manages multiple teams of professional staff within a region/jurisdiction responsible for assessing the effectiveness of complex controls that help ensure ongoing compliance with key laws, regulations and policies affecting regional/jurisdictional BNY Mellon businesses. Manages the team's completion of comprehensive, risk based reviews of existing and emerging regulatory requirements and provision of prompt, focused feedback to business management on concerning issues and control gaps. Implements corrective action and issue tracking to ensure resolution efforts proceed timely and effectively. Reviews reporting produced by the team and appropriately escalates significant issues to senior management. Manages multiple teams of professional staff within a region/jurisdiction. Responsible for the achievement of regional goals. Ensures regional teams are equipped to operationalize and attain objectives. Ensures the appropriate financial and human resource allocation. Modified based upon local regulations/requirements.
Qualifications Bachelor s degree or the equivalent combination of education and experience is required. MBA or professional certification preferred. 10-12 years of total work experience, with 1-3 years of management 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. 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 & 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.
Pershing provides critical business process, financial and technology solutions for financial organizations around the globe. We operate behind the scenes to power transformational change for broker-dealers, registered investment advisors, independent financial advisers, hedge fund and '40 Act fund managers and individual investors. We strive to be innovators, developing open architecture technology and financial solutions to support our customers' growth. We advocate on behalf of our customers and help them respond to regulatory reform and drive positive outcomes for our industry and investors. From our core business as an industry-leading trade execution, clearing and custody provider, we have evolved into a global multifaceted firm that provides investment solutions, forward-thinking technology-driven efficiencies, practice management and service excellence.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans.
Primary Location: United States-New Jersey-Jersey City Internal Jobcode: 85167 Job: Compliance Organization: Pershing Domestic-HR06431 Requisition Number: 1809850