BNY Mellon Careers

SrSpec, Compl&Control (Sr. Specialist, Control Room & Surveillance)

Pittsburgh, Pennsylvania; Oriskany, New York
Compliance


Job Description

Global Compliance is expanding the coverage of the Global Control Room to include global trade, voice, e-communications and employee trade surveillance. These responsibilities supplement the Control Room’s existing coverage of insider trading and markets abuse and generally ensuring that securities firewalls (i.e., information barriers) are in place to separate business and individuals with Material Non-Public Information (MNPI) from trading and investment areas. The candidate will work as part of a team to help implement an effective global, standardized and highly effective surveillance program; leverage emerging technology to create holistic behavioral/predictive analytics by combining trade, voice, e-communications and employee trading; create and implement written supervisory procedures; enhance existing metrics platform to provide cross portfolio insights by business, region, product and employee; strengthen existing controls and implement new control processes; and potentially manage a globally diverse team of supervisory analysts.    


Key activities include:  

Monitor electronic communications for market abuse and employee misconduct by asset class


Monitor voice communications for market abuse and employee misconduct by asset class


Maintain the securities firewalls, market abuse and personal securities trading policies


Maintain the Firm’s Watch and Insider Lists


Review personal, firm and client trades for potential insider trading


Perform other surveillance relating to information barriers  

Qualifications

Bachelor s degree or the equivalent combination of education and experience is required. Business or Finance degree preferred. 7-10 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/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.


Primary Location: United States-Pennsylvania-Pittsburgh
Internal Jobcode: 85161
Job: Compliance
Organization: Compliance & Ethics-HR06015
Requisition Number: 1906894