BNY Mellon Careers

Spec, Compl&Control

Liverpool, United Kingdom

Job Description


• Identify AML/CTF/Sanctions needs in conjunction with business line PNJ, Pershing and BNY,Compliance and other relevant stakeholders (including client firms)

• Act as the FCT BSC (Business Sanctions Co-Coordinator)

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

• Delivering a range of AML/CTF/Sanctions reports and MI

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

• Support the evaluation regarding the effectiveness of sanctions training provided

• Build a strong compliance culture

•  Build a strong sanctions culture

• Enable staff to perform their roles confidently, effectively and efficiently

• Mentor and provide support to other FCT staff in the delivery of  Sanctions assessment and evaluation

• Promote effective communication between team members, stakeholders (globally)

• Use internal systems to identify, mitigate and rationalise all Sanctions Alerts


Previous Experience

• Relevant experience working in financial services (preferably AML / Sanctions /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 (OFAC, FETFA, Jersey, FATF,FINCen, CBI)

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

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

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

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: 85160
Organization: Pershing-HR06431
Requisition Number: 1806771