BNY Mellon Careers

Specialist, Regulatory Oversight Management

London, United Kingdom
Asset Servicing

Job Description

This is an analyst type of role residing in the Business Oversight team in Asset Servicing. The team supports management of the day-to-day efforts related to first line of defence regulatory implementation of laws, rules, and related policies.



  • General understanding of the regulatory environment is required. Analytical skills in this role are fundamental to be able to understand and implement regulatory requirements.
  • Acts as a business line SME on behalf of Asset Servicing including being the interface with Compliance, Legal, Risk and Internal/External Audit.
  • Provides guidance and support to Relationship Managers in discussion with their clients in relation to regulatory implementation matters with specific regard (but not limited to) to AML requirements, Asset Safety and MiFID.
  • He/she is responsible for understanding business processes and making recommendations on how to streamline and automate these processes.
  • Performs research and analyses relevant regulations to ensure processes and procedures are operationally compliant with the regulatory requirements. .
  • Communicates with stakeholders internal and external to Asset Servicing as needed and makes recommendations on necessary procedural/control changes to business processes.
  • This position requires knowledge of the Financial Services Industry regulations, compliance, operations and data analysis. Custody experience will be considered a plus. 
  • Requires strong oral and written communication skills, problem solving and the ability to implement regulatory oversight management policies and procedures.
  • Verify practices against policies.
  • Prepare management reports and alert management to any urgent matters or findings.
  • Provide training to entry-level employees.
  • Be able to perform data analysis to investigate broad range of issues or topics.
  • No direct reports: provides guidance to less experienced team members.
  • Contributes to the achievement of team objectives. Supports moderately complex projects and provides insight on interpretation of regulations.
  • Exposure to KYC due diligence requirements is considered a plus.

The perfect candidate must be curious, proactive, willing to invest time and dedication into complex investigation to identify gaps in processes and discrepancies in data. He/she must be willing to work under minimal guidance and able to resolve issues, based on relevant experience. “Going the extra mile” attitude is a must!


  • Business Analyst background preferred;
  • Proven years’ experience in the Financial Industry. Experience in Operations and Client Services would be beneficial; 
  • Basic understanding of client contracts, contractual structures and contractual wording would be beneficial; 
  • Experience in responding to Audit/Compliance requests in a timely and accurate fashion;
  • Experience in dealing with complex investigations in an efficient and accurate manner;
  • Experience with controls and control environment;
  • Proficient in using Word, Excel and PowerPoint;
  • Experience of developing and implementing business processes would be beneficial;
  • Knowledge (or willingness to learn how to use) Visio is a plus.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: United Kingdom-Greater London-London
Job: Asset Servicing
Internal Jobcode: 70402
Organization: AS Global Front Office-HR16987
Requisition Number: 1907805