BNY Mellon Careers

Compliance Monitoring Analyst

Liverpool, United Kingdom
Compliance


Job Description

 

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.

Qualifications

Requirements:

 

  • 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
Job: Compliance
Internal Jobcode: 85159
Organization: Pershing International-HR16947
Requisition Number: 1815226