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Lead Analyst, Compliance & Control

BNY Mellon
Job LocationManchester
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Role SynopsisThe key purpose of this position is to provide support to the review and approval of financial promotions, provision of advisory support to the Distribution & Marketing teams and oversight of business functions on compliance matters relating to distributionactivities within Europe, the Middle East and Africa (EMEA) and Latin America regions.Key Responsibilities

  • To work as part of a team of three individuals dedicated to the review and approval of financial promotions relating to investment capabilities and strategies of the BNY Mellon Investment Management firms and products, both undertakings for collective investmentin transferable securities (UCITS) and Alternative Investment Funds (AIFs) domiciled in the UK, Ireland and Luxembourg.
  • Review and approve financial promotions for both retail and professional clients to ensure compliance with the FCA financial promotion rules and the laws and regulations in other jurisdictions, ensuring pro-active management of workflow, co-ordinating effectivelywith other members of the Compliance team and business partners in the Marketing function.
  • Provide compliance advisory support in respect of distribution activities within the EMEA and Latin America regions, including provision of timely and accurate compliance advise to business partners on local laws and regulations relating to marketing ofinvestment products and services in each relevant jurisdiction.
  • To assist (where possible) the development and execution of a business-wide compliance programme to facilitate monitoring of the adequacy and effectiveness of policies and procedures implemented by the business.
  • Provide input (where possible) to the compliance risk assessment (CRA) process to determine the focus of the annual testing programme, including ongoing maintenance of the CRA in response to emerging issues/events, both internal and external.
  • Provide input (where possible) to scoping of review themes, identifying and researching relevant laws, regulations and guidance as necessary to gain background knowledge.
  • To engage with business initiatives and projects requiring Compliance input and compliance-originated projects related to regulatory developments and/or changes to compliance policies and procedures.
Skills, Knowledge and Experience
  • Prior experience working with financial promotions and knowledge of the UK rules and guidance in COBS and PERG is desirable.
  • 3-7 years of Industry experience (preferred)
  • Previous exposure to the rules and guidance in other European jurisdictions would also be beneficial.
  • Prior experience working within the financial services industry would be advantageous, particularly within an asset management firm or fund service provider.
  • Intermediate ability on desktop applications such as Microsoft Office required.
  • Language skills, in particular French, German, Italian or Spanish would be advantageous.
Academic / Professional Qualifications (or equivalent qualifiers)
  • Degree level preferred but not essential.

Keyskills :
Compliance MonitoringFinancial PromotionsUCITSCompliance Assessments

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