CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Independently contributes to the Know YourCustomer (KYC) due diligence efforts of multiple assigned business units.Responsible for assisting the business units to bring them into compliance withcomplex regulatory and policy requirements. In partnership with business unitmanagers, responds to and develops client due diligence reporting. Based onassessments of controls, works with business units to implement improvementsincluding the completion of appropriate documentation when control changes aremade. Analyzes existing and proposed legislation, regulatory announcements andindustry practices in order to help the assigned businesses develop andimplement procedures to meet existing and upcoming requirements. May assignanalysis activities to more junior professionals. Contributes to thedevelopment of projects and programs to improve compliance and enhance thecontrol environment. Analyzes control processes to ensure they are incompliance with all applicable laws, rules and regulations Validates theappropriateness of control processes or guides the assigned business units inimplementing improvements. May provide guidance to more junior professionals toimprove their understanding of compliance, control and documentation policies.Deliver presentations pertaining to due diligence findings on prospects andclients to internal stakeholders. Maintains strong working relationshipswith outside regulators, government officials and senior business unit managersin order ensure the timely delivery of information and increase the likelihoodof favorable conditions for compliance activities. Uses strong partnershipswith managers in the assigned business unit to respond to reports issued byregulatory agencies or audit. Contributes to assessments of the effectivenessof controls that help ensure ongoing compliance with key laws, regulations andpolicies affecting BNY Mellon businesses. Helps prepare risk based reviews ofexisting and emerging regulatory requirements, concerning issues and controlgaps. May contribute to the development of recommendations for correctiveaction and issue tracking to ensure resolution efforts proceed timely andeffectively. Contributes to the preparation of time sensitive reporting and appropriatelyescalates issues to management. No direct reports; provides guidance to morejunior team members, as needed. Contributes to the achievement of teamobjectives. Modified based upon local regulations/requirements.
Bachelors degree or the equivalent combination of education and experience is required. Business or Finance degree preferred. 7-10 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. Primary Location: United States-USA-Florida-Lake Mary Work Locations: Job: Risk Organization: BNY MELLON