BNY Mellon Careers

Compliance Monitoring Officer

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, with minimal guidance, as required in order to support the completion of the Compliance Monitoring plan;
  • Contributing to the compliance efforts of the assigned business units based on the assessment of controls;
  • Working with business units to implement improvements and develop documentation when control changes are made;
  • Contributing to projects and program tasks intended to improve compliance and enhance the control environment;  
  • Completion of administrative tasks required to support the Compliance Monitoring plan including system administration, planning, fieldwork, and report writing; and  
  • 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.

 

Qualifications

Requirements:

  • Bachelor’s degree or equivalent combination of education and experience is required;
  • 3-5 years relevant experience working in financial services;
  • Strong Understanding of the FCA’s rules and regulations;
  • Understanding of the Financial Services & Markets Act and how they link to the FCA rules and regulations;
  • Ability to analyse complex rules and regulations;
  • Strong communication skills;
  • Strong administrative skills;
  • Strong organisational skills & 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;
  • Previous experience of undertaking internal assessments

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: United Kingdom-Merseyside-Liverpool
Job: Compliance
Internal Jobcode: 85160
Organization: Pershing International-HR16947
Requisition Number: 1901196