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Principal, Regulatory Oversight Management

Lancashire
Full time
Posted
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BNY Mellon
Banking, investment & finance
5,001-10,000 employees
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Who we are:

BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment and wealth management and investment services in 35 countries.

As of March 31, 2021, BNY Mellon had $41.7 trillion in assets under custody and/or administration, and $2.2 trillion in assets under management. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments.

BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation (NYSE: BK).

Additional information is available on www.bnymellon.com. Follow us on Twitter @BNYMellon or visit our newsroom at www.bnymellon.com/newsroom for the latest company news.

What we do:

Global Securities Operations supports the movement, processing, and ongoing maintenance of assets throughout all stages of the investment lifecycle. The Regulatory & Control Oversight team is responsible for the oversight of GSO’s regulatory commitments to industry governing bodies, as well as compliance to internal Control Management rules and regulations.

The successful candidate will:

Reside in the business and manage the first line of defense regulatory oversight management efforts as they relate to moderately complex regulatory and policy requirements. Leading a small team of regulatory specialists.

Essential Functions – Key Roles & Responsibilities:

  • Analyzes existing and proposed legislation, regulatory announcements, and industry practices for first line of defense compliance requirements.
  • Helps businesses develop and implement procedures to meet compliance requirements.
  • Validate controls or project plans to ensure compliance with laws, rules and regulations and manage risk.
  • Assists business unit managers in response to reports issued by regulatory agencies or audit.
  • Provide guidance and training to entry-level employees.
  • Manages a small team : provides technical advice/guidance to less experienced team members.
  • Contributes to the achievement of team objectives.
  • Supports multiple, complex projects and owns project timelines and leadership expectations.

What we are looking for:

  • 7-10 years Operations, Regulatory or related financial markets/securities industry experience.
  • Thorough knowledge of Financial Services rules and regulations, specifically: experience in CASS, CAP regulations very desirable
  • Solid understanding of the custody business and thorough understanding of risk management and control practices.   
  • Excellent leadership skills, ability to lead dynamic team
  • Effective interpersonal, oral and written communication skills
  • Possesses the ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving.
  • Ability to effectively deal with senior management as well as Regulators.
  • Excellent analytical, organizational and time management skills with the ability to meet tight deadlines
  • Proficiency in using Microsoft packages particularly Excel

Our offer for you:

  • Excellent opportunities for training, growth, and professional development
  • Mentoring and job shadowing programs
  • A multitude of opportunities to get involved in additional charity projects and engagement groups
  • Employee Referral Program
  • Health Promotion: Wellbeing and Innovation Centre, Wellbeing programs
  • Full time contract of employment
  • Competitive salary
  • Health & Life Insurance
  • Private medical care
  • Pension scheme

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


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

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.