Senior Specialist, Compliance and Control – Regional Supervisory VP

Job Description

 Independently contributes to the development of the compliance strategy for the assigned business units. Responsible for assisting the business units to bring them into compliance with complex regulatory (e.g. Regulation 9) and policy requirements. In partnership with business unit managers, responds to and develops compliance reporting. Based on assessments of controls, works with business units to implement improvements including the completion of appropriate documentation when control changes are made.    

Analyzes existing and proposed legislation, regulatory announcements and industry practices in order to help the assigned businesses develop and implement procedures to meet existing and upcoming requirements. Provide Regulation 9 investment review approvals and other approvals when needed to resolve escalated issues.


 Contributes to the development of projects and programs, including training, to improve compliance and enhance the control environment. Active participation on various committees and projects.


 Analyzes control processes to ensure they are in compliance with all applicable laws, rules and regulations. Validates the appropriateness of control processes or guides the assigned business units in implementing improvements. May provide guidance to front office team members in region to improve their understanding of compliance, control and documentation policies.


Maintains strong working relationships with outside regulators, government officials and senior business unit managers in order ensure the timely delivery of information and increase the likelihood of favorable conditions for compliance activities. Uses strong partnerships with managers in the assigned business unit to respond to reports issued by regulatory agencies or audit.


 Contributes to assessments of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting BNY Mellon business. Helps prepare risk-based reviews of existing and emerging regulatory requirements, concerning issues and control gaps. May contribute to the development of recommendations for corrective action and issue tracking to ensure resolution efforts proceed timely and effectively. Contributes to the preparation of time sensitive reporting and appropriately escalates issues to management.


 Bachelor’s degree or the equivalent combination of education and experience is required. Business or Finance degree preferred.


 7-10 years of total work 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. Preferred qualifications: - Strong knowledge and understanding of Regulation 9 and fiduciary account administration - Solid problem solving skills - Excellent verbal, written and interpersonal skills - Ability to foster effective relationships  

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Primary Location: United States-California-Los Angeles
Internal Jobcode: 85161
Job: Wealth Management
Organization: Advice Planning and Fiduciary-HR16024
Requisition Number: 1917040