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Job Description
The Compliance Surveillance 2LoD team is multifaceted in that it is 1) structured to provide independent check and challenge over the 1LoD trade, e-communications and voice surveillance programs; and 2) responsible for the primary review and escalation of Control room related issues resulting from transaction and/or e-communications surveillance alerts.

While the QA portion of the program is based on a partnership with the business the function must remain independent to ensure that the company and individuals within the company comply with relevant laws, regulations, market standards, and ethical norms.



Responsibilities:

Primary responsibility is to conduct independent Quality Assurance (QA) over 1LoD e-communications surveillance supervisory review.
Secondary responsibility may require limited review of alerts from various queues that are brought under surveillance purview.
May have to assess from time-to-time whether employees globally are in compliance with relevant laws, rules, regulations related to the appropriate usage of Material Non-Public Information (MNPI).
Supports the day-to-day efforts related to assessing whether employees globally are in compliance with relevant laws, rules, regulations based on review of 1LoD closed surveillance alerts.
Escalating issues to appropriate stakeholders and tracking through closure.
Documenting reviews and outcomes to ensure complete and accurate audit trail.
Requirements:

Should have knowledge of the Financial Services Industry, with a specific focus on e-communications surveillance.
Solid understanding of investment instruments and a general knowledge of compliance concepts.
Oral and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
Bachelor’s Degree preferred.
Banking, product/financial services and/or auditing or compliance experience preferred with 1+ years related to surveillance.

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.
Reference : Senior Analyst, Compliance & Control jobs

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Published at 09-06-2022
Viewed: 199 times