BNY Mellon Careers

Compliance Monitoring Officer

Liverpool, United Kingdom

Job Description

MyCareer Path Description and Position Summary


Manages compliance efforts for the Company as they relate to moderately complex regulatory and policy requirements. Thorough knowledge of Financial Services rules and regulations. Strong problem solving, analytical ability oral and written communication skills. The ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving. Ability to effectively deal with senior management as well as Regulators.

MyCareer Path Primary Responsibilities


• Analyze existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedures to meet these requirements.

• Validate control processes to ensure compliance with laws, rules and regulations

• Assists business unit managers in response to reports issued by regulatory agencies or audit



  • Relevant experience working in financial services (preferably compliance monitoring)
  • Good knowledge of the rules & regulations of FCA and LSE and ability to analyse legislation relating to other jurisdictions where Pershing Europe operate
  • General awareness of company law and the Financial Services & Markets Act and
  • Good awareness of ISA regulations
  • Ability to analyse existing & proposed legislation to determine impact on the firm and recommend appropriate response
  • Strong communication skills
  • Strong administrative skills
  • Strong organizational skill & attention to detail
  • Excellent project management, interpersonal and analytical skills
  • Detail-oriented with the ability to work under pressure and within tight deadlines
  • Ability to work independently and in a team environment
  • Strong work ethic

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 & 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:

Pershing provides critical business process, financial and technology solutions for financial organizations around the globe. We operate behind the scenes to power transformational change for broker-dealers, registered investment advisors, independent financial advisers, hedge fund and '40 Act fund managers and individual investors. We strive to be innovators, developing open architecture technology and financial solutions to support our customers' growth. We advocate on behalf of our customers and help them respond to regulatory reform and drive positive outcomes for our industry and investors. From our core business as an industry-leading trade execution, clearing and custody provider, we have evolved into a global multifaceted firm that provides investment solutions, forward-thinking technology-driven efficiencies, practice management and service excellence.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: United Kingdom-Merseyside-Liverpool
Job: Compliance
Internal Jobcode: 50345
Organization: Pershing-HR06431
Requisition Number: 1709098