BNY Mellon Careers

IntRep, Compl&Control (Compliance Rep, Employee Personal Trading)

Oriskany, New York
Compliance


Job Description

Supports management in the day-to-day efforts related to compliance with laws, rules, regulations and related policies pertaining to the company’s personal securities trade monitoring. The incumbent performs research, analyzes relevant compliance-related information and makes determinations as to whether employee transactions are compliant with our policies. Responsibilities may include verifying of practices against policies, preparing management reports, counseling business personnel on compliance with policies and the handling paper brokerage account statements and broker confirmations.  

Qualifications

Bachelor s degree or the equivalent combination of education and experience is required. 2-3 years of total work experience preferred. Experience with Financial Services Industry regulations, compliance operations or auditing preferred. 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-Oriskany
Internal Jobcode: 85156
Job: Compliance
Organization: Compliance & Ethics-HR06015
Requisition Number: 1907791