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To provide support to the design, development and execution of the risk framework and oversight programme in respect of IM-EMEA and the associated fund companies, BNY Mellon Fund Managers Limited ("BNYMFM") in the UK and BNY Mellon Fund Management (Lux) SA ("BNYMFM Lux") in Luxembourg, including investment managers appointed by IM EMEA and the associated fund companies and the fund administrators.
It is envisaged that the role will also involve certain generalist risk and compliance duties, in particular support to the business in relation to the General Data Protection Regulation (GDPR), acting as "Privacy Champion".
BNY Mellon Investment Management's goal is to build and manage investment and wealth management strategies and solutions that address the ever-changing needs of our clients. Drawing on deep expertise, we collaborate with our clients to understand their needs and tailor our best ideas and resources to meet their specific requirements. As recognised pioneers of the multi-boutique model, BNY Mellon have some of the best investment ideas, from the finest investment minds, all in one place.
BNY Mellon Investment Management has over US$1.9 trillion AUM (as at 31 March 2018) and is the global investment management arm of BNY Mellon, one of the world's largest global asset managers We provide investment management, investment services and wealth management that help institutions and individuals succeed in markets all over the world.
Provide support to the design, development and execution of the risk framework and oversight programme in respect of IM-EMEA, BNYMFM & BNYMFM Lux with specific focus on operational, prudential, information/technology and vendor risks.
Maintain and update the Risk & Control Self-Assessments (RCSA) for each of the entities, working with business owners to ensure "gaps" are identified and closed in a timely manner and processes continually assessed.
Perform detailed risk assessments on proposed business process changes and key areas of risk e.g. AML, Fraud, Market Abuse.
Provide support to the IM EMEA Capital Planning process and contribution to the IMEH consolidated ICAAP, working with IM EMEA senior management, Finance and group Compliance.
Perform diagnostic work on Operational Risk Events and work with business stakeholders to develop actions to enhance the control environment.
Maintain and update Risk Appetite Statement (RAS) for each of the above entities. Monitor Key Risk Indicators and RAS metrics and prepare reports to governance committees and legal entity boards on exceptions.
Maintenance of Compliance & Risk Management Policies and Procedures and review updates of corporate policies, communicating key changes to business stakeholders.
To make an active contribution to the design and development of the Risk & Compliance oversight programme in respect of controls performance and design.
To assist the contribution of Risk & Compliance to the corporate governance framework of IM EMEA, including input to preparation of reports and management information for internal governance committees, including the Risk & Compliance Committee.
Participate in centralised initiatives across the BNY Mellon Risk & Compliance organisation, to ensure consistency of approach across business lines and appropriate knowledge-exchange
General duties, as required, including GDPR incident oversight.
Provide support to the management and execution of business projects and those related to regulatory-change. Demonstrate awareness of current and emerging regulatory and industry developments and the potential impact to IM-EMEA and the fund management companies.
Provide training to the business on operational risk matters as required.
Generic Staff Responsibilities:
Provide accurate and appropriate management information to Senior Management.
Comply with all corporate policies relevant to the functions managed..
Ensure that internal and external expenses are managed in line with budget expectations.
Be aware of current regulatory and legal obligations of the function managed.
Report any suspected breaches to immediate line management and where appropriate, senior management immediately on discovery.
Monitor, document and report business risks and internal controls of the function alerting Senior Management immediately of any significant changes.
Contribute to the maintenance and testing of an effective continuity plan to ensure an appropriate response to any disruption to systems, information services, communications and office facilities.
Building Organizational Talent
Operational Decision Making
Job Specific Competencies:
Strong interpersonal and communication skills (oral and written, in particular report writing);
Attention to detail and ability to work to tight deadlines;
A strong team player and self-motivated;
Ability to work effectively under pressure and to tight deadlines;
Must be capable of exercising sound judgement and good decision-making in managing risk;
Good organizational skills and self-discipline in managing priorities.
Technical Skills, Knowledge, Systems Knowledge (and associated skill level):
Prior experience working with the financial services industry would be advantageous, particularly within Operational Risk or another control function (i.e. Compliance/ Internal Audit);
Exposure and knowledge of Enterprise Risk Management Frameworks (i.e. COSO, ISO 31000);
Exposure and understanding of accounting and finance desirable.
Familiarity with the UK regulatory system including the FCA's supervisory approach and the Handbook of rules/guidance, particularly prudential rules, also beneficial.
Competent in Word, Excel, Powerpoint and other desktop applications.