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Full-time Senior Specialist, Compliance & Control

at Jobisite in Pennsylvania

BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 35 countries and serving more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team.

Independently contributes to the compliance efforts of the Employee Compliance Group..
Responsible for assisting the Firm to remain in compliance with complex regulatory and policy requirements related to personal securities trading.
In partnership with others, works with vendors and developers to respond to and develop compliance reporting.
Based on assessments of controls, works with Employee Compliance and vendor to implement system improvements including the completion of appropriate documentation when control changes are made.
Partner with Employee Compliance and Technology to create business requirements that will be used to make system enhancements to internal and vendor-provided technology solutions.
Contributes to the development of projects and programs to improve compliance and enhance the control environment.
Analyzes control processes to ensure they are in compliance with applicable laws, rules and regulations.
Validates the appropriateness of control processes or guides the business in implementing improvements.
May provide guidance to more junior professionals to improve their understanding of compliance, control and documentation of policies.
Maintains strong working relationships with the business, developers and vendors in order to ensure the timely delivery of system enhancements and increase the likelihood of favorable conditions for compliance activities.
Uses strong partnerships to respond requests from the business and audit.
Contributes to the preparation of time sensitive reporting and appropriately escalates issues to management.
No direct reports, provides guidance to more junior team members, as needed. Contributes to the achievement of team objectives.
Must be detail oriented, organized and able to prioritize multiple deliverables.
Bachelor‘s degree or the equivalent combination of education and experience is required.
Business or Finance degree preferred.
7-10 years of total work experience preferred.
Knowledge of security products and experience with both the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and of
Experience managing a personal trade compliance application strongly preferred.
Financial Services, Personal Trade Compliance or Compliance Technology background and/or experience strongly preferred
Reference : Senior Specialist, Compliance & Control jobs


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Published at 29-09-2022
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