With direct guidance, contributes to the compliance efforts of the assigned business units. Helps with assessment activities to ensure the business units are in compliance with standard regulatory and policy requirements. Helps the business units respond to and develop compliance reporting, as directed. Contributes to drafting of documentation when control changes are made.
Under direct guidance, analyzes existing legislation, regulatory announcements and industry practices in order to report on the assigned business' current state of compliance.
Contributes to projects and program tasks intended to improve compliance and enhance the control environment.
Analyzes control processes to ensure they are in compliance with all applicable laws, rules and regulations. Reviews the appropriateness of control processes.
Begins to build working relationships with outside regulators, government officials and business unit managers in order to facilitate the timely delivery of information and increase the likelihood of favorable conditions for compliance activities.
With direct guidance, contributes to assessments of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting BNY Mellon businesses. Begins to gain experience preparing risk based reviews of existing and emerging regulatory requirements, concerning issues and control gaps. Contributes to the preparation of reporting, as directed. Escalates issues to more experienced professionals.
No direct reports.
Contributes to the achievement of team objectives.
Modified based upon local regulations/requirements.
Bachelor s degree or the equivalent combination of education and experience is required. Business or Finance degree preferred. 3-5 years of total work experience preferred. Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred. BNY Mellon is an Equal Employment Opportunity Employer. Primary Location:
Compliance Internal Jobcode:
Compliance & Ethics-HR06015 Requisition Number: