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Newton Investment Management is one of BNY Mellon Investment Management's specialists, and are a London-based global investment house with expertise in a range of disciplines, including global, regional and emerging-market equities, multi-asset strategies, absolute return investing and global bonds. A global, thematic approach to investment helps them achieve long-term perspective on global financial markets and economies, and identify areas of long-term risk and opportunity. Their belief is that responsible investment is better investment for clients and they consider ESG (environmental, social and governance) issues in relation to every company in which they invest. Newton is part of BNY Mellon Investment Management, one of the world's largest investment managers.
Trusted: We work in an open and honest way and with transparency. We do what we say we will do and work towards a common goal. We act with honesty and integrity and always do what is right. We make good informed decisions and act in the best interest of Newton and its clients. Our clients trust us to do the right thing. Collaborative: We work together to create solutions for the benefit of the business and our clients. We recognise diversity and innovation as valuable tools in achieving our goals. We search out new opportunities and ideas by involving the right people in discussions and decision making. We welcome different perspectives in our pursuit of the best possible solution. We work in partnership with our clients. Open-minded: We consider new ideas and strategies and identify new and different ways of being successful. We are flexible and open to change even when that change challenges our current viewpoint. We welcome different perspectives and diversity of thought to keep our approaches' innovative and current. We are curious about the opinions of others and recognise their contributions. Accountable: We take ownership of our role in driving the business forward and meeting our business objectives. We own the explicit decision making process and acknowledge our successes and areas of development as a basis for improvements without blame. We have clear defined roles and work together to ensure hand offs and jointly owned functions are delivered effectively. We are empowered to work autonomously and take pride in our personal contributions. Purposeful; We share a clear set of goals and strategies and work towards them collectively to fulfil our business objectives. We have a clear set of standards and approaches that provide context and guidance to our purpose. We are deliberate in how we work with our clients and stakeholders differentiating us from our competitors. We operate with clear intent delivering solutions as efficiently and effectively as possible. Dynamic: We adapt to the changing market conditions and explore new and innovative solutions to support our clients changing needs. We encourage idea generation and progress new ideas and opportunities quickly. We are agile and flexible demonstrating a willingness to change to remain competitive. We are energised, enthusiastic and challenge how and what we do to remain relevant. Entrepreunerial: We have the conviction to generate new ideas and recognise the need for experimentation and diversity of thought. We are agile and faced paced using effective decision making to agree and drive forward or dismiss and continue to search for a solution. We work with our colleagues, stakeholders and clients to create innovative future proof solutions and deliver them in a timely manner. We think like owners and recognise the personal contribution we make in supporting Newton's continuing success.
Working within the Compliance Monitoringh team to assist in managing Newton's regulatory risks in addition to planning and executing on the monitoring programme.
Responsible for assisting with the execution of the Newton monitoring programme to include:
Planning monitoring assignments and executing them in a timely manner in line with the agreed monitoring plan and BNYM Global Monitoring procedures
Conducting the pre-scoping exercise for each monitoring review (including meeting with key stakeholders), documenting the scope
Conducting all field work, evaluating risk and processes and procedures, documenting all testing and sampling.
Compiling and organising all review documentation and testing output to ensure a clear audit trail
Drafting reports and agreeing issues with stakeholders
Working though the QA process and liaising with the Head of Compliance, the Monitoring Manager and key business stakeholders to confirm and document the monitoring issues and actions
Chasing of issue / action closures
Ongoing input of monitoring work to, and maintenance of the Compliance Monitoring system (ProAct)
Demonstrating clear sense of accountability in performing the role.
Contributing to the Compliance Department's assessment of the regulatory risks faced by Newton
Involvement in ad hoc Compliance projects and tasks as appropriate
Representing the monitoring team at governance committees and forums as required and/or preparing monitoring MI
Assisting with oversight and management of temporary monitoring resources, including summer interns
Providing any other compliance support as agreed and appropriate
Management of own ongoing training schedule alongside core role of monitoring review work.
Solid Compliance background, preferably in 2nd line risk based / thematic monitoring or possibly audit
Demonstrate understanding of the remit and role of the 2nd line of defence and of Compliance review work in general
Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions
Able to build and maintain relationships with key business stakeholders of all levels
Able to synthesise, organise and evaluate large amounts of information, think logically and identify potential risks
Experience of applying monitoring methodologies / audit methodology within financial organisations, preferably within the investment management industry
Well organised self-starter, able to prioritise quickly and adapt to tight timeframes and meet deadlines
Able to walk through processes and procedures and detect possible control weaknesses to target testing appropriately
A good attention to detail balanced with ability to see a wider perspective.
BNY Mellon is an Equal Employment Opportunity Employer. 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.