Manages a regional/jurisdictional team of professional staff responsible for overseeing and managing the moderately complex administrative, operational and financial affairs of the Compliance function within the assigned region/jurisdiction. Directs the team's assessment of regulatory and policy requirements in order to develop programs and projects to improve regional/jurisdictional compliance, and presents program and project recommendations to more senior managers. May advise on strategy changes to further improve the region's/jurisdiction's ability to remain in compliance with or become compliant with applicable laws, policies and regulations. Contributes to the establishment of the overall compliance strategy and is responsible for appropriately implementing the strategy within the assigned region/jurisdiction. Guides the team's analysis of existing and proposed legislation, regulatory announcements and industry practices within the region/jurisdiction in order to identify opportunities for alignment with the global compliance strategy and areas where region-specific strategies are needed. Helps business units within the region/ jurisdiction to appropriately implement approved procedures to meet requirements. Contributes to the assessment and validation of control processes to ensure compliance with laws, rules and regulations. Contributes to efforts to develop a strong compliance culture and increase organizational awareness of compliance roles and responsibilities within the assigned region/ jurisdiction. Uses strong relationships with business unit managers to increase the likelihood of timely completion of compliance activities and responses to reports issued by regulatory agencies or audit. Continues to build relationships with regulators and government officials and appropriately escalates issues raised by these contacts to more senior managers. Recruits, directs, motivates and develops professional staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team. Provides feedback at the most critical times. Manages a regional/jurisdictional team of professional staff responsible for assessing the effectiveness of moderately complex controls that help ensure ongoing compliance with key laws, regulations and policies affecting regional/jurisdictional BNY Mellon businesses. Manages the team's completion of comprehensive, risk based reviews of existing and emerging regulatory requirements and provision of prompt, focused feedback to business management on concerning issues and control gaps. Implements corrective action and issue tracking in alignment with established policies. Reviews reporting produced by the team and appropriately escalates issues to more senior managers. Manages a regional/jurisdictional team of professional staff. Responsible for the achievement of professional team goals. Manages the financial resources of the team (budgets, expenses, etc.). Modified based upon local regulations/requirements.
QualificationsBachelor s degree or the equivalent combination of education and experience is required. MBA or professional certification preferred. 7-10 years of total work experience, with 0-1 years of management 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.
BNY Mellon is an Equal Employment Opportunity Employer.
Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
Primary Location: India-Maharashtra-Pune
Internal Jobcode: 85166
Requisition Number: 2003749