BNY Mellon Careers

Technology Governance Manager

London, United Kingdom
Information Technology

Job Description

The Technology Governance Manager assists the Head of EMEA Technology Governance in ensuring that Technology meets all of its EMEA-region regulatory obligations including Senior Management Arrangements, Systems and Controls (SYSC), Senior Managers & Certification Regime (SMCR), Client Assets Sourcebook (CASS) and Client Asset Protection (CAP).

This is a UK Certification Regime approved role and requires frequent and direct interaction with regional Executive Management, Global Technology Leadership and a wide-range of technical and business partners.

Key Responsibilities

• In accordance with relevant regulations, assist in the development and maintenance of the EMEA Technology Oversight Framework.

• Develop, implement and maintain appropriate processes and controls for EMEA Technology.

• Adhere to the EMEA Technology Oversight Framework to oversee Technology services delivered to the EMEA legal entities, ensuring compliance with SMCR, SYSC, CASS and CAP obligations.

• Ensure all relevant Technology policies and procedures are followed locally, escalating as soon as breaches are made apparent to you.

• Escalate to the Head of EMEA Technology Governance and UK SMF24 any high risk or issue within the time period outlined in Corporate Policies.  Ensure that the appropriate mechanisms are in place to ensure you are duly informed of all such risks or issues.

• Ensure that all Technology groups are kept informed and updated with local activity.

• Ensure there is clear, appropriate and evidenced apportionment of responsibilities amongst staff members for whom the job holder has management responsibility.

• Play a full and active role in the management activities of the Technology organisation and EMEA legal entities, helping to ensure that a strong governance culture is embedded within the region.

• As a member or delegate, represent Technology at management forums including Executive, Management, Operating, Risk and Compliance committees as required.

• Act as an escalation point for all areas of Technology in the location.

• Support the Head of EMEA Technology Governance in the preparation of materials in response to regulatory reviews, surveys or other requests for information.  Assist in presenting such materials as required.

• Address any gaps identified through formal attestation or other such process and evidence reviews.

• Maintain appropriate Outsourcing SLAs, Management Information, Agreements and Oversight in line with SMCR, SYSC, CASS and CAP obligations.

• Challenge and escalate Management Information where it indicates non-compliance with EMEA regulation.

• Oversee major EMEA regulation-related projects and those that impact EMEA legal entities.

• Ensure that 100% of the location’s compliance, risk and audit Technology actions are met on time.

• Notify the relevant teams, as per the regulatory workflow, within 48hrs of receiving a regulatory request.

• Track all regulatory requests and projects impacting the location and EMEA legal entities.

Key Responsibilities – Certification Regime

• You fulfil the responsibilities delegated to you by the Senior Manager to whom you have reporting obligations as recorded  under the relevant ‘Control Schedule’, ensuring  oversight and maintenance  of appropriate governance and controls in relation to such responsibilities .

• You fulfil your obligations to escalate all matters of concern pertinent to your area to your Senior Manager in a timely manner.

• You fulfil your obligations to escalate any issues that come to your attention that could be a breach or potential breach of a regulatory obligation to your Senior Manager, regardless of whether the issue relates to your delegated responsibilities or otherwise.

• You complete all mandatory training and ensured any external training undertaken has been recording in the training system (Saba) and obtain or maintain all qualifications that may be required in order for you to perform your role.

• You notify the Company immediately you become aware of anything that might impact upon your fitness and propriety to remain a Certified Person as outlined in the Certification Regime Guide [available on MySource].

• You have read and understood and must comply with BNY Mellon’s Code of Conduct as well as policies and procedures which apply to you.

• You must comply with the FCA and PRA Conduct Rules.

Generic Staff Responsibilities

• Comply with all BNY Mellon corporate policies and procedures, including HR policies and procedures, applicable to BNY Mellon

• Alert management including the Chief Risk Officer and / or the EMEA Chief Risk Officer immediately of any significant changes to business risks and internal control effectiveness.

• Notify management and/or the Chief Compliance and Ethics Officer and Head of International Compliance immediately on discovery of any material regulatory breach

• Comply with all Security and Health & Safety policies and procedures operating within the business.


Core Competencies

1. Global Acumen - Developing and incorporating an understanding of the competitive global  business environment as well as an awareness of economic, social  and political trends that impact the organization’s global strategy

2. Establishing Strategic Direction - Establishing and committing to a long-range course of action to accomplish a long-range goal or vision after analyzing factual information and assumptions taking into consideration resources, constraints and organizational values

3. Developing Strategic Relationships - Using appropriate interpersonal styles and communication methods to influence, collaborate and build effective relationships with business partners (e.g., peers, functional partners, external vendors and alliance partners)

4. Building Organisational Talent - Attracting, developing and retaining talented individuals. Providing timely coaching, guidance and feedback to help others maximize their potential and meet key accountabilities. Using appropriate methods and interpersonal styles to develop, motivate and guide a team toward successful outcomes and attainment of business objectives

5. Change Leadership - Continuously seeking (or encouraging others to seek) opportunities for different and innovative approaches to addressing organizational problems and opportunities

6. Client Orientation - Cultivating strategic client relationships and ensuring that the client perspective  is the driving force behind all value-added business activities

7. Driving Execution - Translating strategy into operational reality. Breaking down strategic priorities or business initiatives into key tasks and identifying accountabilities. Aligning communication, people, culture, processes, resources and systems to ensure effective implementation and delivery of required results.

Shared Values

1. Client Focus – demonstrates clear understanding of importance of effective customer service, internally & externally

2. Integrity - acting with the highest ethical standards for our company, our employees and our clients

3. Teamwork –  fostering collaboration & diversity to empower employees to build relationships & deliver insights

4. Excellence – Setting the standard for leading-edge solutions, innovation and continuous improvement

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:

Client Technology Solutions provides our business partners with client-focused, technology-based solutions. These enhance their ability to be successful through world-class software solutions and leading-edge infrastructure. Client Technology Solutions provides employees with the tools and resources to enhance their professional qualifications and careers.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: United Kingdom-Greater London-London
Job: Information Technology
Internal Jobcode: 60190
Organization: Asset Servicing Technology-HR07302
Requisition Number: 1803864