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Compliance Manager II (Swap Dealer Compliance)
Manages specialized Compliance efforts for the company as they relate to complex regulatory requirements, programs and project development pertaining to Foreign Exchange and Derivative products. Conducts detailed analysis of existing/proposed regulation and industry practices within the Swaps/Derivatives markets (ex. FX, IRD) and helps business develop & implement policies and procedures to meet these requirements. Validates specialized control processes to ensure compliance with governing laws and rules. Partners with business managers to respond to findings of regulators (CFTC & NFA) and/or Auditors. May manage a specialized team of Compliance Analysts and Compliance Officers to support the business. Will have contact with regulators, government officials, and senior business managers.
QualificationsMBA, JD degree or professional certification preferred. 10 - 12 years relevant product/financial services and/or auditing or compliance experience preferred. Expertise in particular Financial Services rules and areas of regulation. Thorough understanding of Enterprise Compliance Risk Management and best practices. Excellent problem solving, analytical ability, oral and written communication skills. The ability to resolve stressful situations with internal clients and regulators in a professional manner. Ability to effectively interact with senior/executive management and Regulators. Strong interpersonal and influencing skills to achieve positive outcomes with constituencies over whom 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: 23600
Organization: Compliance & Ethics-HR06015
Requisition Number: 1801379