Specialist, Compliance & Control

Job Description

OverviewBring your ideas. Make history. BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the worlds top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration.Known as the "bank of banks" - 97% of the worlds top banks work with us as we lead and serve our customers into the new era of digital. With over 238 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, were approximately 50,000 employees across 35 countries with a culture that empowers you togrow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about. Were seeking a future team member for the role of Specialist, Compliance & Control to join our Risk and Compliance - UK Compliance Testing Team. In this role, youll make an impact in the following ways:

• With minimal guidance, lead and perform compliance thematic reviews efficiently, effectively and timely related to BNY Mellon businesses and operational processes to ensure adherence to applicable laws, rules, and regulations as well as corporate and businesspolicies and procedures in accordance with the Global Compliance Testing Manual methodology for the UK Annual Compliance Testing plan
• Analysing control processes to ensure they are aligned and in compliance with all applicable laws, rules, regulations and internal corporate and business policies and procedures
• Understanding key regulations in scope to design applicable tests to be performed to assess adherence of the business to business, corporate and regulatory requirements
• Participate in the coordination and attendance of engagement planning meetings and walkthroughs
• Conducting and documenting high quality planning/fieldwork meeting walkthroughs and testing in accordance with Compliance Testing guidelines
• Communicating effectively, in both verbal and written mediums, observations and findings identified and facilitating the development and agreement of corrective action plans to the business, tracking actions proactively to conclusion
• Perform validation of business remediated findings by ensuring agreed upon action plans in the Compliance Testing Report are completed in full and properly supported
• Ensuring that all steps of Compliance Testing reviews are accurately recorded on BNYMs Compliance Testing system
• Ensuring that all compliance testing is completed timely in accordance with the annual program on time and to a high standard in line with the Global Compliance Testing Manual methodology
• Representing Compliance Testing at client meetings where required
• Training and supporting other team members on the application of the Global Compliance Testing Manual methodology and systems e.g., BNYMs Compliance Testing system
• Providing input to team, department and ad-hoc projects and assignments as required
• Complying with all BNY Mellon corporate policies and procedures and mandatory training requirements

To be successful in this role, were seeking the following:

• Preferred secondary/university graduate in business, compliance, finance, accounting, or related discipline or equivalent combination of education and experience. Relevant industry qualifications are an advantage
• Financial industry experience including Compliance & Risk experience
• Compliance testing, control testing and/or internal audit experiencewith a solid understanding of the key steps of testing review/audit processes preferably at a large bank, financial institution, public accounting firm or regulatory body
• Sound knowledge, understanding and awareness of UK laws, rules and regulations
• Ability to work independently under tight deadlines and competing priorities and being proactive in terms of planning and execution of reviews, raising and escalating challenges or concerns to team leaders and managers in a timely manner
• Ability to work with stakeholders across the Three Lines of Defense.

At BNY Mellon, our inclusive culture speaks for itself. Heres a few of our awards:

• Fortune Worlds Most Admired Companies & Top 20 for Diversity and Inclusion
• Bloombergs Gender Equality Index (GEI)
• Human Rights Campaign Foundation, 100% score Corporate Equality Index
• Best Places to Work for Disability Inclusion , Disability: IN - 100% score
• 100 Best Workplaces for Innovators, Fast Company
• CDPs Climate Change A List

Our Benefits: BNY Mellon offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your lifes journey. Focus on yourhealth, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves that can support you and your family through moments that matter. BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans. Employer Description: For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create,trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the worlds financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helpingclients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and morethan 100 markets. Its the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: careers.