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Monitors the firm's and broker dealer client'stransactional submissions to the FINRA Order Audit Trail System (OATS) and theSEC's Consolidated Audit Trail (CAT). Monitor and repair various audit trailexceptions for syntax, context and intra firm and inter firm linkage. Assist the director of the team in monitoring patterns within reporting data.Prepares detailed charts and reports for management review. Analyzes requiredregulatory filings for adherence to external and internal compliance standards;reports findings to management for review and action, if required. Responds toquestions and inquiries on policies and/or on-going audits. Participates in thedevelopment of policies or procedures to implement new surveillancerequirements. Participates in the development for design and implementation oforganization's training, ensuring that training provides up-to-date informationin a fast-changing environment. No direct reports; provides guidance to lessexperienced staff as needed. Contributes to the achievement of teamgoals.
Qualifications Bachelor s degree or the equivalent combination of education and experience is required. 5-7 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. Our ambition is to build the best global team - one that is representative and inclusive of the diverse talent, clients and communities we work with and serve - and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
Primary Location: United States-New York-New York Internal Jobcode: 09338 Job: Trading Organization: Pershing Domestic-HR06431 Requisition Number: 2001879