BNY Mellon Careers

Lead Analyst, Compliance & Control

Wroclaw, Poland
Compliance


Job Description

Lead Analyst, Compliance and Control (EMEA Monitoring Team)

 

 

Description

You will assist with delivering timely and thorough compliance monitoring reports as detailed in the annual monitoring program covering all Investment services business functions. You will assist the Compliance Monitoring Manager in assessing the current/emerging risks concerning the local business to enable determination of the structure and composition of the annual monitoring programme. 

This is achieved primarily through the following:

  • Conducting thematic compliance monitoring reviews in line with the global methodology and ensuring evidence is retained of such
  • Liaising with the business and Senior Management in respect to ongoing monitoring and management of open compliance actions as a result of thematic monitoring
  • Providing timely and accurate Management Information where relevant to internal stakeholders
  • Representing BNY Mellon at relevant industry events/ forums.
  • Participation in Risk/Committee or Client Meetings and represent BNY Mellon externally as required

 

In addition you should be prepared to assist as required in the following activities:

  • pro-actively represent Compliance in any business change activity and projects, ensuring that they are assessed from a regulatory perspective
  • working with local business management to ensure compliance with general compliance matters, advise on upstream risk and act as a liaison between those areas and local regulatory authority
  • Assessment, communication and implementation of regulatory change to include responses to industry papers.

The role may require input across other BNY Mellon operations where business is outsourced. Therefore, the jobholder should be prepared to travel (up to 10%)

 

Responsibilities:

  • Ensure that all compliance monitoring is completed in accordance with the annual monitoring program on time and to a high standard in line with the global compliance monitoring methodology
  • Ensure that all findings identified within an allocated review are accurately recorded on EV GCMS and that proactive actions are taken to ensure satisfactory resolution of issues raised
  • Proactively chase outstanding and overdue issues and reflect updates on EV GCMS in line with the requirements of the global methodology
  • Represent Compliance at internal meetings and Committees where required
  • Represent Compliance on external committees, working groups, and trade body seminars if required to do so
  • Represent Compliance at client meetings where required to provide updates in respect to monitoring.
  • Comply with all BNY Mellon corporate policies and procedures, including HR policies and procedures, applicable to BNY Mellon
  • Alert management including the Chief Risk Officer and / or the EMEA Chief Risk Officer immediately of any significant changes to business risks and internal control effectiveness.
  • Notify management and/or the Chief Compliance and Ethics Officer and Head of International Compliance immediately on discovery of any material regulatory breach.
  • Comply with all Security and Health & Safety policies and procedures operating within the business.
  • Complete all mandatory training and ensured any external training undertaken has been recording in the training system (Saba) and obtain or maintain all qualifications that may be required in order for you to perform your role.
  • Must Comply with the FCA and PRA Conduct Rules

Qualifications

Qualifications:

  • BA/BS, MBA or professional certification preferred
  • 2 years of experience within relevant product/financial services and/or auditing, control or compliance monitoring experience.
  • Thorough knowledge of Financial Services rules and regulations.
  • Strong problem solving, organisational, analytical ability oral and written communication skills.
  • The ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving.

 

What we can offer you:

  • Full time contract of employment
  • Competitive salary
  • Health & Life Insurance
  • Multisport card / Cinema Tickets / Nursery subsidiary
  • Pension scheme
  • Excellent opportunities for training, growth and professional development
  • Opportunities to engage in diverse projects due to growth of business migrations
  • A multitude of opportunities to get involved in additional charity projects
  • 3 volunteering days per annum
  • A collaborative culture and great teams

 

If you apply for this role this means you agree with the following statement:

Through my application for a role with BNY Mellon (Poland) sp. z.o.o. (the Company) I hereby authorize the Company to process my personal data for the purposes of recruitment. Furthermore I declare that I am aware of the voluntary submission of data and I am informed about the right to access the data and the right to correct it, pursuant to the Personal Data Protection Act of 29 August 1997 (Journal of Laws [Dz.U] No. 133, item 883)”. I authorise the Company to process my personal data for future recruitment processes.

Furthermore, I authorize BNY Mellon and its’ affiliates, Taleo (UK) Limited to process my personal data.

BNY Mellon and affiliates registration details.

BNY Mellon (Poland) sp. z.o.o Registered office – Swobodna 3, 50-088 Wroclaw

The Bank of New York Mellon (International) Limited – 1 Canada Square, London, E14 5AL

The Bank of New York Mellon SA/NV – 46 Rue Montoyerstraat, B-1000 Brussels, Belgium

Taleo (UK) Limited Registered office - 78-586 Chiswick High Road, London W4 5RP, United Kingdom,

Please note that during the recruitment process you may be asked to provide further information and supporting documents. The information provided may be verified and reviewed, to the extent permitted by the law, as to their veracity and accuracy.


BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: Poland-Dolnoslaskie-Wroclaw
Job: Compliance
Internal Jobcode: 85159
Organization: Compliance & Ethics-HR06015
Requisition Number: 1900118