BNY Mellon Careers

Compliance Officer II

Liverpool, United Kingdom

Job Description


• Work with the MLRO, AML Business Specialist, Sanctions Business Co-Ordinator and Head of Compliance.

• Delivers and reports on investigation of AML and Sanctions matches, creating reports and using  internal and external reporting systems (Incident Management Framework)

• Assist in the management of the Multi –Party relationship between PLC Compliance, PLC Operations and the OFAC Compliance team in BNYM regarding Actimize, Fircsoft and SWIFT Scanning

• Supports the Business functions and senior management in the production of Statistical Reports, Management and Executive Reports

• Supports the  Business regarding all AML and Sanction’s screening events, including Negative news, Worldcheck and open source analysis

• Assists in Annual AML / PEP/ Sanctions Client Reviews

• Collates and analyses all relevant date in relation to Screening Alerts

• Assists in the oversight of Off-boarded Business Areas (Chennai)

• Assists in the development of the FTC team including Communications, Promotion and Client Interaction

• Analyse existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedures to meet these requirements

• Validate AML processes to ensure compliance with laws, rules and regulations

• Assists business unit managers in response to reports issued by regulatory agencies, compliance or audit

• Identify AML/CTF/Sanctions compliance training needs in conjunction with business line Compliance and other relevant stakeholders (including client firms)

• Develop, maintain, deliver and promote risk-based AML/CTF/Sanctions training programmes, in accordance with identified training initiatives and regulatory requirements

• Promote high quality training solutions tailored to the needs of learners including different learning formats such as classroom presentations web-based courses and webcasts

• Delivering a range of AML/CTF/Sanctions compliance training: Induction, Refresher, Up-Skilling and ad hoc training deliverables

• Develop, maintain and promote close working relationships with relevant business lines to establish internal/client specific training needs

• Support the evaluation regarding the effectiveness of training provided

• Build a strong compliance culture that empowers employees by offering robust and thorough AML/CTF/Sanctions training to enable staff to perform their roles confidently, effectively and efficiently

• Mentor and provide support to other FCT staff in the delivery of training

• Promote effective communication between team members through the provision of training updates at Compliance department meetings



• Relevant experience working in financial services (preferably compliance monitoring)

• Good knowledge of the rules & regulations of FCA and LSE and ability to analyse legislation relating to other jurisdictions where Pershing Europe operate

• General awareness of company law and the Financial Services & Markets Act and

• Good awareness of ISA regulations

• Ability to analyse existing & proposed legislation to determine impact on the firm and recommend appropriate response

• Strong communication skills

• Strong administrative skills

• Strong organizational skill & attention to detail

• Excellent project management, interpersonal and analytical skills

• Detail-oriented with the ability to work under pressure and within tight deadlines

• Ability to work independently and in a team environment


Previous Experience

• Minimum 3-5 years of direct compliance training experience within the financial services industry

• Proven experience of developing and delivering online and classroom training

• A good understanding of the global regulatory environment

• Excellent communication skills

• Experience of delivering training across the corporate hierarchy

• Previous experience of client meetings desirable

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:

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 Employer.

Primary Location: United Kingdom-Merseyside-Liverpool
Job: Compliance
Internal Jobcode: 53989
Organization: Pershing-HR06431
Requisition Number: 1802672