BNY Mellon Careers

SrRep, Compl&Control (Personal Securities Trading/Employee Monitoring)

Oriskany, New York

Job Description

Supports the day-to-day efforts related to assessing whether employees are in compliance with relevant laws, rules, regulations and the company’s personal securities trade Policy. Under minimal supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues. As an experienced team member, suggests changes to improve work processes, counsels employees and business personnel on compliance with policies and guides lower level peers on procedures and reviews the quality of their work. With minimal guidance, researches and collects data on compliance and control-related activities. Compiles data into a useable format for more senior team members and may conduct basic, preliminary analyses of collected data. May review the work completed by more junior support staff for accuracy and completeness. Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy. Independently prepares reports for management on the business line's compliance status and may assign report development tasks to more junior support staff. Reviews reports with more senior support roles to confirm accuracy and completeness and checks reporting prepared by more junior support staff. Counsels business personnel and management on remaining in compliance or improving their alignment with established controls and compliance goals. Identifies and addresses compliance issues, directly interfacing with peers in assigned business areas. Escalates complex issues to more senior staff. With minimal guidance, provides technical support for professional and management staff's assessment of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting the assigned areas. Produces large quantities of data to support comprehensive, risk based reviews of existing and emerging regulatory requirements. Appropriately escalates issues to professional and management staff. As an experienced team member, may recommend process improvements to management. No direct reports; provides guidance to more junior team members and may assign tasks, as needed. Contributes to the achievement of team objectives. Modified based upon local regulations/requirements.  


Bachelor s degree or the equivalent combination of education and experience is required. 3-5 years of total work experience preferred. Experience with Financial Services Industry regulations, compliance operations or auditing preferred. Experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.

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:

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-Oriskany
Internal Jobcode: 85157
Job: Compliance
Organization: Compliance & Ethics-HR06015
Requisition Number: 1806466