ExecMgr, Compl&Control - Asset Servicing, Issuer Services, and Operations

  • BNYMellon
  • New York, NY, USA
  • May 15, 2019

Job Description

We are looking for an Executive Manager, Compliance & Control to oversee the Compliance function supporting the following business areas: Asset Servicing, Corporate Trust, Depositary Receipts, and BNYM Operations globally.
This individual will: Advise on businesses strategy to improve their ability to remain in compliance with or become compliant with organizational policies and regulations globally. Establish and execute the overall compliance strategy and protocols for enforcing and monitoring compliance for the organization; while delegating routine monitoring responsibilities to professional staff and more junior managers. Advise business on completing highly complex, detailed analysis of existing and proposed legislation, world regulatory events and announcements and industry practices in order to identify opportunities and issues     for business and regional/ jurisdictional alignment with the global compliance strategy. Directly influence the ways in which senior organizational managers and leaders implement approved procedures to meet requirements and ensure alignment with industry best practice methodology. Manage the assessment and validation of global control processes to ensure compliance with laws, rules and regulations. Use strong relationships with senior business unit managers and sector executives to ensure timely completion of compliance activities and responses to reports issued by regulatory agencies or audit. Maintain strong relationships with senior regulators and government officials and appropriately escalate high impact issues raised by these contacts to executive leadership. Independently escalate issues with a high risk level and high potential financial impact for the organization Counsel executives and provide direction and support for compliance activities, initiatives and issues. Assess the effectiveness of highly complex controls that help ensure ongoing compliance with key laws, regulations and policies affecting BNY Mellon businesses throughout the world. Complete risk based reviews of existing and emerging global regulatory requirements and provision of prompt, focused feedback to business management on concerning issues and control gaps. Deliver recommendations for corrective action and issue tracking to ensure resolution efforts proceed in a timely manner and effectively challenge senior management. Assume accountability for the accuracy of reporting produced by the team and the appropriate escalation of issues with a potentially global impact to the Chief Compliance Officer, senior management and applicable Boards. Recruit, manage, motivate and develop the team in different locations, maximizing their individual contribution and their professional growth.  


Minimum Requirements:   Bachelor’s degree or the equivalent combination of education and experience is required. 15+ years of total work experience   Preferred Skills: MBA, JD or professional certification preferred. Financial Services, Legal, 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. Working familiarity, on domestic US and global basis, with technology, telecommunications, networked systems, electronic funds transfer, crypto and cyber-currency helpful, including the array of US and foreign regulatory requirements and imperatives for banking and information systems. Demonstrated project management experience is desired. Prior experience in or demonstrated familiarity with the following areas making up the global coverage responsibility of the Manager: asset servicing/custody, corporate trust services, depositary receipts services, and operations supporting BNY Mellon businesses globally. Prior experience with state, federal and foreign regulatory agencies, including in the US: the Federal Reserve, the Office of the Comptroller of the Currency, the New York Department of Financial Services, the Federal Depositary Insurance Corporation. Maintains extensive knowledge of regional/jurisdictional differences in laws, policies and regulations and appropriately requests the advice of regional/jurisdictional experts, as needed.  
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Primary Location: United States-New York-New York
Internal Jobcode: 85169
Job: Compliance
Organization: Compliance & Ethics-HR06015
Requisition Number: 1818624