BNY Mellon Careers

Principal, Compliance & Control (Trade Surveillance)

London, United Kingdom

Job Description

Overview Of BNY Mellon:

BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 35 countries and serving more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team.

Team Description:

Risk and Compliance provide risk and compliance services across all BNY Mellon businesses including 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. Compliance helps ensure BNY Mellon's businesses maintain appropriate processes to comply with applicable laws, regulations, BNY Mellon policies and ethics. In EMEA, Compliance is split into four pillars; Advisory, Monitoring, Financial Crime and Regulatory Change. Advisory provide the second line of defence on compliance issues for all of the lines of business in EMEA, assisting the business through regulatory requirements, best practices and regulatory relationships.   

Role Description:

In order to support the sustainable delivery of the products & services we require a Trade Surveillance Analyst to provide a first line review of alerts and organise any escalations diligently and professionally. The role supports the day-to-day running of 2nd Line of Defence Compliance Monitoring and Surveillance activities across the EMEA from London. The role will give compliance coverage specifically to the Capital Markets and Corporate Treasury businesses in EMEA.



• Trade Surveillance: To review equity, FX & e-coms alerts to detect and identify potential market abusive activities or behaviour.

• Perform voice surveillance sampling.

• Review and evidence clearly and factually.

• Escalate findings in a controlled and organised fashion.

• To approach surveillance activities on a holistic basis considering flow of orders and quotes from other lines of business and reviewing activities per trader / sales person.

• To issue STORs on a timely basis, track issues, respond to related regulatory enquiries and report internally on issues and concerns as they arise.


• Bachelor s degree or the equivalent combination of education and experience is required.

• Business or Finance degree preferred.

• Proven total work experience in Compliance within financial services compliance.

• Industry compliance qualifications with an understanding of Markets asset classes and potential market abusive practises.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: United Kingdom-Greater London-London
Job: Compliance
Internal Jobcode: 85162
Organization: Compliance & Ethics-HR06015
Requisition Number: 1819391