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We're looking for an amazingindividual to join our growing team. The longevity of our firm is atestament to its strength and stability. Your ability to contribute freshand diverse perspectives in a team-based environment will usher us into futureand take us to the next level.
As the fastest growing RIAcustodian in the U.S., BNY Mellon's Pershing Advisor Solutions offers a fastpaced environment and dynamic culture where "client first" is paramount. We serve advisory firms who are professionally managed and growth oriented,supporting high net worth and ultra-high net worth investors who lead complexfinancial lives.
Our commitment to career growthand mobility is at the core of our people oriented culture, as evidenced by ourtenured staff. We welcome the opportunity to speak with you!
Serves in a key position on BNYMellon Pershing's Advisor Solutions team, responsible for the design,governance and execution of surveillance and risk management protocols forindependent registered investment advisor ("RIA") firms, multifamily offices,advisors in transition and other key channels within the Financial Servicesspace. Works collaboratively throughout the broader BNY Mellon enterprise,partnering with Business Development, Capital Markets, Client Service,Operations, Credit Risk and Trading.
Responsibilities include the design and oversight for a suite of surveillancesdesigned to detect behaviors that may violate regulatory requirements,enterprise-wide risk management framework or internal policies and procedures. This includes the escalation and appropriate resolution of detectedanomalies across trade surveillance, electronic communications, AML, duediligence and transaction monitoring. Responsible for trade monitoringfor client trading activity to detect potential market abuse/manipulationpractices. Must be proficient in the use of surveillance tools/methods toresearch alerts generated across different asset classes including but notlimited to Fixed Income, Options and Equities.
Must be familiar with theprocess for all surveillance reviews and be able to perform all key steps(assessing scope and severity of the activity, retrieving and analyzing data,partnering with all relevant internal groups, escalating alerts as needed tothe correct internal teams, assessing and reporting on any issues identified). In addition collaborating and working with other areas within theorganization, as necessary; and keeping abreast of regulatory changes, newregulations and internal policy changes in order to further identify new keyrisk areas.
Possesses a strong analyticalbackground and research capabilities to analyze large amounts of trading data,while able to tailor the communication approach (written reports,presentations, etc.) to fit the audience (Senior Leadership, Compliance,Internal Audit, Trading and Operations). Participate in, contribute toand drive projects to enrich current suite of surveillance reports and models. Evaluate and explore surveillance methodologies used by the trade surveillanceteam to optimize and partner with technology and clients to maximize theefficiency of current reviews.
Monitors and audits the firm'stransactions and analyzes and reviews the organization's activities. Serve as a consultant and advisor in conducting high-level,high-visibility and potentially sensitive analyses and reviews. Serve asan expert for management in areas related to market compliance and tradesurveillance. Reviews documents, schedules, account/transactionalactivity and narrative materials; conducts analyses; develops findings; andformulates conclusions about compliance with statutory and regulatoryrequirements. Prepares authoritative and meaningful written reports withvisuals, including evaluative commentaries appropriate to the matter beingreviewed. Provides guidance on exceptional issues encountered duringaudits, including providing evaluations, assessments and suggested responses tothe matter.
Serves as organization's advisoron regulatory programs. Applies advanced knowledge to interpret andrecommend resulting procedures and policies. Designs, develops andproposes new procedures and methodologies for addressing requirements, particularlymarket activity abuses. Serves as resource for design and implementationof organization's training, ensuring that training provides up-to-dateinformation in a fast-changing environment.
No direct reports, providesguidance to other team members as needed. Opportunity to directly engagewith clients and industry partners via phone, industry conferences andseminars/webinars. Contributes to the achievement of team goals.
Qualifications Bachelor s degree or the equivalent combination of education and experience is required. 7-10 years of total work experience preferred. Experience in trading or brokerage preferred. Applicable FINRA licenses preferred (e.g., Series 7, 63, etc.).
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: 09339 Job: Customer/Client Service Organization: Pershing Domestic-HR06431 Requisition Number: 1911910
Internal Number: 6499808
About BNY Mellon
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