BNY Mellon Careers

Lead Analyst, Regulatory Oversight Management

Hong Kong, Hong Kong
Asset Servicing


Job Description

 

  • Previous experience in Retail Fund is preferable.
  • Support management in the day-to-day control efforts related to regulatory, legal policies, procedures and practices.
  • Perform all assigned tasks specific to assigned product and region, including, but not limited to initial reviews and analyzation of the most complex documents (TA and Fund of Funds), suspicious transaction monitoring (e.g., third party transaction wires, early redemptions, etc.), regulatory filings, etc.
  • Perform secondary review of work done by other Regulatory Control staff to ensure regulatory compliance with applicable laws and regulations related to the assigned products and assigned region.
  • Liaise with clients and/or internal staff regarding any of the assigned Regulatory Control tasks.
  • Maintain a mastery knowledge level of regulatory matters specific to their product and region in order to assist AIS Regulatory Control staff in their review and analyzation of subscription documents
  • Liaise with AIS clients regarding regulatory filings (specific to product and region).
  • The Incumbent would also be integrally involved in the audit and Compliance monitoring process
  • Other ad-hoc projects that may be mandated by Global Regulatory or AML Compliance. 
  • Knowledge of SFC, MAS, FSA and CBI AML requirements would be an advantage.

Qualifications

  • Bachelors Degree
  • Either 5+ years relevant work experience including at least 2 years in Finance and/or Compliance or a Law Degree with 3+ years relevant work experience.


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.

Client Service Delivery manages investment monitoring, measurement and processing services for our clients. Our solutions include Securities Operations, Fund Administration, Transfer Agency, Outsourcing, Performance Measurement and other related services.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: Hong Kong-Hong Kong-Hong Kong
Job: Asset Servicing
Internal Jobcode: 70403
Organization: CSD AIS Operations-HR08997
Requisition Number: 1711634