BNY Mellon Careers
Compliance Monitoring Analyst
The role reports to the Head of Compliance Monitoring with responsibility for:
- Completing Compliance Monitoring reviews as assigned and in accordance with the Compliance Monitoring plan;
- Conducting testing and other necessary tasks as required in order to support reviews being undertaken by the other members of the Compliance Monitoring team;
- Completion of administrative tasks required to support the Compliance Monitoring plan including system administration, planning, fieldwork, and report writing;
- Assisting with the production and ongoing development of periodic management information reports relating to Compliance Monitoring and also to the wider Compliance department as required.
- Complying with all BNY Mellon and Pershing corporate policies and procedures, including HR policies and procedures, applicable to Pershing.
- Alerting management immediately of any significant changes to business risks and internal control effectiveness.
- Notifying management and/or the Chief Compliance Officer immediately on discovery of any material regulatory breach.
- Complying with all Security and Health & Safety policies and procedures operating within the business.
- Bachelor’s degree or equivalent combination of education and experience is required;
- 3 years relevant experience working in financial services;
- Understanding of the FCA’s rules and regulations;
- General awareness of the Financial Services & Markets Act;
- Ability to analyse complex rules and regulations;
- Strong communication skills;
- Strong administrative skills;
- Strong organisational skill & attention to detail;
- Excellent report writing skills;
- Detail-oriented with the ability to work under pressure and within tight deadlines; and
- Ability to work independently and in a team environment.
BNY Mellon is an Equal Employment Opportunity Employer.
Primary Location: United Kingdom-Merseyside-Liverpool
Internal Jobcode: 85159
Organization: Pershing International-HR16947
Requisition Number: 1815226