Specialist, Compliance & Control

Job Description

Compliance Monitoring assesses the effectiveness of controls that help ensure ongoing compliance with laws, regulations and policies affecting BNY Mellon businesses throughout the world. Monitoring is a core pillar of BNY Mellon's Compliance program and partners with other functions to ensure that senior management is taking informed decisions. Through comprehensive, risk-based reviews of both existing and emerging regulatory requirements, the Compliance Monitoring provides information.

 

We are looking for an experienced professional to take the role of the Specialist in the Compliance Monitoring team in Wroclaw (with primary focus on the US regulatory environment) who will be responsible for participating in Compliance Monitoring Reviews. The role involves the preparation, execution and documentation of the results of the review conducted, as well as proactive interaction with stakeholders and compliance colleagues in developing a remediation process.


Successful individual will be a part of a Global Compliance Monitoring team (role based in Wroclaw) and will be overseen by a local manager with dual reporting line to the Head of Americas Compliance Monitoring.


Responsibilities: 

  • Plan, execute, and document compliance reviews with limited supervision and to a high standard in accordance with internal manual, corporate policies and regulatory expectations.

  • Completing reviews efficiently within established timeframes with the ability to multi-task.

  • Based on assessments of controls, works with business units to implement improvements and develop documentation when control changes are made.

  • Analyze risks and proactively identify the root-cause of issues using internal methodology and risk-based approach.

  • With minimal guidance, contributes to assessments of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting BNY Mellon businesses.

  • Communicate review results and issues in a clear and concise manner, both verbally and in writing.

  • Contributes to the achievement of team objectives.

  • Contributes to corporate expectations: Excellence, Accountability, Client Driven and Efficient Decision Making.

  • Proactively follow-up on any outstanding issues/concerns and those that are past due.

  • Partner with other teams within Compliance and Business to ensure the delivery of a seamless program across the firm, and the early identification of emerging issues.

Qualifications

Qualifications: 
  • Education to degree standard (or equivalent) preferably covering one of the areas: audit, law, finance, accounting, mathematics.
  • 4-7 years of total work experience within Financial Services (preferably internal auditing, internal control, regulatory compliance), with good understanding of the regulatory standards.
  • Working knowledge of the US regulations concerning financial services sector (including: Office of the Comptroller of the Currency “OCC”, Federal Reserve System “Fed”, Financial Industry Regulatory Authority “FINRA”).
  • Demonstrable understanding of internal controls, risk assessment concepts and strong analytical skills to assess the impact of control weaknesses.
  • Strong verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner.
  • Strong sense of responsibility and ownership of the work performed.
  • Excellent time management skills and proactive approach towards tasks assigned.
  • Good Microsoft Office skills (including Excel, Word, Powerpoint).
  • Experience with data analytics techniques is desirable.
  • Fluent in English (both written and spoken) including business terminology.

What we can offer you:
  • Full time contract of employment
  • Competitive salary
  • Health & Life Insurance
  • Multisport card / Cinema Tickets / Nursery subsidiary
  • Pension scheme
  • Excellent opportunities for training, growth and professional development
  • Opportunities to engage in diverse projects due to growth of business migrations
  • A multitude of opportunities to get involved in additional charity projects
  • A collaborative culture and great teams

If you apply for this role this means you agree with the following statement:   Through my application for a role with BNY Mellon (Poland) sp. z.o.o. (the Company) I hereby authorize the Company to process my personal data for the purposes of recruitment. Furthermore I declare that I am aware of the voluntary submission of data and I am informed about the right to access the data and the right to correct it, pursuant to the Personal Data Protection Act of 29 August 1997 (Journal of Laws [Dz.U] No. 133, item 883)”. I authorise the Company to process my personal data for future recruitment processes.
Furthermore, I authorize BNY Mellon and its’ affiliates, Taleo (UK) Limited to process my personal data.
BNY Mellon and affiliates registration details.-
BNY Mellon (Poland) sp. z.o.o Registered office – Swobodna 3, 50-088 Wroclaw The Bank of New York Mellon (International) Limited – 1 Canada Square, London, E14 5AL The Bank of New York Mellon SA/NV – 46 Rue Montoyerstraat, B-1000 Brussels, Belgium Taleo (UK) Limited Registered office - 78-586 Chiswick High Road, London W4 5RP, United Kingdom,  Please note that during the recruitment process you may be asked to provide further information and supporting documents. The information provided may be verified and reviewed, to the extent permitted by the law, as to their veracity and accuracy.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: Poland-Dolnoslaskie-Wroclaw
Job: Risk
Internal Jobcode: 85160
Organization: Compliance & Ethics-HR06015
Requisition Number: 1915595