Overview
ABOUT BNY MELLON
Bring your ideas. Make history.
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the "bank of banks" - 97% of the world's top banks work with us as we lead and serve our customers into the new era of digital. With over 238 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we're approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.
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BNY Mellon is seeking a Compliance Specialist to join the Governance and Strategy team within Asset Servicing and Digital Compliance.
Compliance and Ethics is an independent organization within BNY Mellon reporting to the Chief Risk Officer (CRO), responsible for helping to ensure the company's businesses maintain appropriate processes to comply with all applicable laws, regulations, company policies, and ethical norms. A great opportunity for a compliance specialist with a passion for compliance and innovation to join the BNYM team building out the Compliance governance framework and strategy for BNYM's Digital Assets solutions as well as read across to BNYM's Asset Servicing businesses. Led by the Head of Governance and Strategy, the team reports to the Chief Compliance Officer for ASD and ensures that ASD Compliance executes on its priorities, leverages best practices and innovative approaches, and deepens partnerships across the company.
In this role, you'll make an impact in the following ways:
- With minimal guidance, execute compliance thematic reviews efficiently, effectively and timely related to BNY Mellon businesses and operational processes to ensure adherence to applicable laws, rules, and regulations as well as corporate and business policies and procedures in accordance with the Global Compliance Testing Manual methodology for the APAC Annual Compliance Testing plan
- Analyzing control processes to ensure they are aligned and in compliance with all applicable laws, rules, regulations and internal corporate and business policies and procedures
- Understanding key regulations in scope to design applicable tests to be performed to assess adherence of the business to business, corporate and regulatory requirements
- Participate in the coordination and attendance of engagement planning meetings and walkthroughs
- Conducting and documenting high quality planning/fieldwork meeting walkthroughs and testing in accordance with Compliance Testing guidelines
- Communicating effectively, in both verbal and written mediums, observations and findings identified and facilitating the development and agreement of corrective action plans to the business, tracking actions proactively to conclusion
- Perform validation of business remediated findings by ensuring agreed upon action plans in the Compliance Testing Report are completed in full and properly supported
- Ensuring that all steps of Compliance Testing reviews are accurately recorded on BNYM's Compliance Testing system
- Ensuring that all compliance testing is completed timely in accordance with the annual program on time and to a high standard in line with the Global Compliance Testing Manual methodology
- Representing Compliance Testing at client meetings where required
- Training and supporting other team members on the application of the Global Compliance Testing Manual methodology and systems e.g., BNYM's Compliance Testing system
- Providing input to team, department and ad-hoc projects and assignments as required
- Complying with all BNY Mellon corporate policies and procedures and mandatory training requirements
- Preferred secondary/university graduate in business, compliance, finance, accounting, or related discipline or equivalent combination of education and experience. Relevant industry qualifications are an advantage
- Minimum of 5-7 years financial industry experience preferably with minimum 3 years of Compliance & Risk, compliance testing, control testing and/or internal audit experience with a solid understanding of the key steps of testing review/audit processes preferably at a large bank, financial institution, public accounting firm or regulatory body
- Sound knowledge, understanding and awareness APAC laws, rules and regulations
- Ability to work independently under tight deadlines and competing priorities and being proactive in terms of planning and execution of reviews, raising and escalating challenges or concerns to team leaders and managers in a timely manner
- Ability to work with stakeholders across the Three Lines of Defense.
- Full time contract of employment
- City Centre locations close to main railway station and flexible working arrangements
- Flexible benefits package, including life and medical insurance, health screening, fitness discount programme, employee assistance program
- Award-winning Wellbeing Program supporting you with your unique health and wellbeing needs
- Pension scheme
- On-site childcare and a parental buddy programme
- Exciting opportunities for career and global mobility
- Diverse and inclusive environment
- Employee Referral Program
- Recognition programmes
- Fortune World's Most Admired Companies & Top 20 for Diversity and Inclusion
- Bloomberg's Gender Equality Index (GEI)
- Best Places to Work for Disability Inclusion, Disability: IN - 100% score
- 100 Best Workplaces for Innovators, Fast Company
- Human Rights Campaign Foundation, 100% score Corporate Equality Index
- CDP's Climate Change 'A List'
#LI-Hybrid
Employer Description:
For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.