BNY Mellon Careers
Lead Analyst, Surveillance
- Provides assistance in the monitoring and review of the firm's transactions, and analyzes and reviews the organization's activities.
- Reviews specific records/documents for completeness and accuracy.
- Notifies more senior staff if documentation is determined to be insufficient, based on compliance with established requirements or regulations.
- Researches and determines sample data from records to perform quality reviews to ensure information entered is consistent and accurate.
- Develops recommendations for reporting enhancements
- Maintains databases which are utilized to develop information relevant to the market surveillance operations, produce spreadsheets and reports, and review records.
- Responsible for project and records management for audits.
- Prepare reports and draft findings for senior Surveillance staff review Serve as organizational resource for information regarding organization's training requirements; may conduct needs assessments or develop recommendations based on audit findings.
- No direct reports.
- Contributes to the achievement of team goals.
- Bachelor s degree or the equivalent combination of education and experience is required.
- 3-5 years of total work experience preferred.
- Experience in trading or brokerage preferred.
- Applicable FINRA licenses preferred (e.g., Series 7, 63, etc.)
- Internal or IT audit experience is preferred.
- Strong Microsoft Access Skills preferred
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: bnymellon.com/careers.
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/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.
Primary Location: United States-New Jersey-Jersey City
Internal Jobcode: 09337
Organization: Pershing Domestic-HR06431
Requisition Number: 1709992