BNY Mellon Careers

SrGrpMgr, Compl&Control (Sr. Principal- Compliance, Regularory & Policy)

New York, New York

Job Description

This position is a key strategic risk management role that has broad remit and responsibilities for leading implementation and management of all aspects of regulatory developments, including impact analysis of regulatory changes, mapping rules and regulations to controls and driving the implementation, maintenance and communication of policies and procedures arising out of those rules and regulations.  Primary responsibility is to manage the global program with coordination regionally for EMEA and APAC.  Strong focus on maintaining an awareness of major regulatory changes affecting the lines of business and corporate staff functions and ensuring appropriate communication and development of relevant policies and procedures (or modifications to existing policies and procedures) to ensure that the firm is fully complying with applicable laws, rules and regulations. The role will need to stay at the forefront of regulatory changes to ensure proactive communication with business and corporate staff functions and develop appropriate policies to manage the changes. In addition, ensure that all changes to existing policy documentation and all new policies comply with regulatory requirements and are reviewed and updated on a periodic basis. This role will report to the Head of Enterprise Compliance Programs and Monitoring. The position must be capable of generating ideas, establishing direction and leading or coordinating compliance staff. Responsible for ensuring that employees are capable, motivated and working with maximum effectiveness to contribute to the success of the compliance program. This position will utilize team-building skills, communication, leadership and interpersonal skills to ensure that team functions cohesively.

  Specific Requirements:  

Coordinate global effort to enhance and automate BNY Mellon’s processes for managing, mapping and evidencing regulatory change by developing a centralized approach consisting of capturing new laws and regulations, amendments, rule proposals, bills, etc. and inform lines of business 


Identify regulatory enforcement actions, fines/sanctions, industry events and evolving regulatory focal points


Interpret laws and regulations and perform a detailed business impact assessment


Partner with business compliance officers to map laws and regulations to BNY Mellon’s products and services within lines of business and corporate staff functions


Risk assess each law and regulation


Bachelor s degree or the equivalent combination of education and experience is required. MBA, JD or professional certification preferred. 12-15 years of total work experience, with 3-5 years of management 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-New York-New York
Internal Jobcode: 85168
Job: Compliance
Organization: Compliance & Ethics-HR06015
Requisition Number: 1906895