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Compliance Officer II
Compliance Officer (CO) reports directly to the Chief Risk Officer (CRO), Australia
Working under the supervision of the CRO, the CO will assist the CRO in the following duties and responsibilities:-
- provide compliance support to BNYM Australia Pty. Ltd - the Corporate Trust Line of Business (LoB), and Australia Branch (Branch);
- work with CRO to ensure that the Company’s Reputation and Franchise is protected by assisting in developing and implementing effective annual Compliance Plans that cover the Corporate Trust LoB and Branch;
- work closely with CRO - to ensure that the local regulatory governance structure is established and functions as intended; and to ensure compliance with applicable U.S., and Local Laws and Regulatory requirements vis-à-vis business activities conducted in Australia;
- assist the CRO to identify and address compliance related issues in new products and services and changes to existing ones, where applicable;
- provide information on Compliance-related Corporate Policies including assisting in establishing and maintaining local compliance related procedures;
- monitor compliance activities by conducting risk-based compliance monitoring reviews;
- review AML surveillance reports as part of the transaction monitoring program;
- assist in conducting general and specific Compliance Training programs for all new and existing employees, covering applicable U.S., and Local Laws & Regulations including Compliance related Corporate Policies;
- assist CRO in coordinating with Asia Compliance office to ensure timely dissemination of new/updated Compliance related Corporate Policies and U.S. Laws and Regulations;
- work with CRO to ensure business awareness of immediate escalation of significant emerging Compliance issues – “No surprises”;
- assist in developing, updating and maintaining the AML Program, and provide ongoing support to Regional AML Coordinator in regional AML projects;
- work with CRO to ensure the 72 hours Incident Reporting Process is adhered to;
- work with CRO to ensure OFAC and sanctions alerts are escalated in a timely manner;
- assist CRO in ensuring Extraview Compliance Monitoring data is maintained, current and complete.
Bachelor of Law degree or equivalent;
Minimum: 4-6 years of relevant experience in a Banking and Finance environment with solid exposure to Compliance, AML or Internal Audit;
Key attributes to the success of this position: good analytical ability; problem solving skills; being proactive and ability to work autonomously, strong interpersonal and communication skills.
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 Employer.
Primary Location: Australia-New South Wales-Sydney
Internal Jobcode: 50571
Organization: Compliance & Ethics-HR06015
Requisition Number: 1716700