BNY Mellon Careers

Compliance Manager III (Clearing Broker/Dealer)

New York, New York; Lake Mary, Florida
Compliance


Job Description

Manages compliance efforts for the Company as they relate to complex regulatory and policy requirements, program and project development.


Specific Duties & Responsibilities:


Familiarity with laws, rules and regulations applicable to US broker dealers and banks.


Experience with compliance risks and issues surrounding products offered in US broker dealer clearing and execution firms.


Providing advice to business partners in a sales,  trading and clearing firm environment


Experience performing sales and trading surveillance in a broker dealer unit.


Ability to communicate effectively with business, control and operational partners, work independently and lead projects as needed.


Other General Responsibilities:


Analyzes existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedures to meet these requirements. Manages control process validation to ensure compliance with laws, rules and regulations. Partners with business unit managers to respond to reports issued by regulatory agencies or audit. May manage small team of Compliance Analysts. Will maintain contact with regulators, government officials, and senior Business Unit managers.

Qualifications

MBA, JD degree or professional certification preferred. 15+ years relevant product/financial services and/or auditing or compliance experience preferred. Thorough knowledge of Financial Services rules and regulations. Solid understanding of Enterprise Compliance Risk Management and best practices. Excellent problem solving, analytical ability, oral and written communication skills. The ability to manage stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving. Ability to effectively communicate with senior management and Regulators. Strong interpersonal skills to influence and impact business decisions over which the incumbent has no direct authority.

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.

Risk and Compliance provide risk and compliance services across all BNY Mellon businesses. Organizationally, Risk and Compliance includes the following groups: Risk Management, Compliance, Global Corporate Security, Information Risk Management and Global Business Continuity. Risk Management oversees and delivers risk services and ensures new business risks are reviewed and approved. Risk Management is organized through Chief Risk Offices for each core business and critical operation. Risk managers provide shared support to BNY Mellon for operational risk services for Global Corporate Trust, Depositary Receipts, Treasury Services and Global Operations in EMEA. Compliance helps ensure BNY Mellon's businesses maintain appropriate processes to comply with applicable laws, regulations, BNY Mellon policies and ethics. This is accomplished through business- and business partner-specific teams of professionals, under centralized global management.

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.


Primary Location: United States-New York-New York
Internal Jobcode: 23590
Job: Compliance
Organization: Compliance & Ethics-HR06015
Requisition Number: 1715434