Supports the day-to-day efforts related to assessing whether assigned areas are in compliance with relevant laws, rules, regulations and policies and that control mechanisms are being deployed as expected. Under minimal supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues. As an experienced team member, suggests changes to improve work processes and guides lower level peers on procedures and reviews the quality of their work.
With minimal guidance, researches and collects data on compliance and control-related activities. Compiles data into a useable format for more senior team members and may conduct basic, preliminary analyses of collected data. May review the work completed by more junior support staff for accuracy and completeness.
Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy. Independently prepares reports for management on the business line's compliance status and may assign report development tasks to more junior support staff. Reviews reports with more senior support roles to confirm accuracy and completeness and checks reporting prepared by more junior support staff.
Counsels business personnel and management on remaining in compliance or improving their alignment with established controls and compliance goals. Identifies and addresses compliance issues, directly interfacing with peers in assigned business areas. Escalates complex issues to more senior staff.
With minimal guidance, provides technical support for professional and management staff's assessment of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting the assigned areas. Produces large quantities of data to support comprehensive, risk based reviews of existing and emerging regulatory requirements. Appropriately escalates issues to professional and management staff. As an experienced team member, may recommend process improvements to management.
No direct reports; provides guidance to more junior team members and may assign tasks, as needed.
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. 3-5 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.
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