Job Description

Compliance Surveillance has a key responsibility in helping the firm manage its regulatory risk through the implementation and/or oversight of surveillance across the various countries in which BNY conducts business. As such it is critical that the firm have a centralized and coordinated surveillance governance function to ensure consistent application of surveillance components, an effective Surveillance Risk Assessment Program, enterprise wide surveillance policies, and general oversight of program health.

The main responsibilities would include, but are not limited to:

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* Take responsibility for coordinating enterprise wide surveillance governance;
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* Coordinating, structuring, and participating in senior Surveillance steerco;
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* Coordinating across lines of business to ensure key information is being captured for steerco;
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* Overseeing the collective book of work and highlighting opportunities and/or raising concerns with delivery;
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* Facilitating the set up of sub-working groups and assigning tasks; and
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* Tracking and ensuring meeting take-aways are assigned and completed by designated employees;
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* Provide advice, training, oversight and challenge to the first line business control and surveillance function and where relevant partner functions;
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* Track and record issues and concerns as they arise and assist in the production of appropriate Management Information;
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* Seek to embed a compliance culture and conduct model throughout the organization;
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* Work with Compliance Advisory, the first line business control and surveillance function and where relevant partner functions to ensure the proper reporting of surveillance issues internally and to regulators on a timely basis:
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* Escalate findings in a controlled and organized fashion.

Values:

Client Focus demonstrate a clear understanding of importance of effective customer service, internally and externally;

Trust - evidence a high standards of integrity and openness;

Teamwork demonstrate an ability to work effectively as a member of a team, a collaborative style, and understanding of the value of diversity; and

Outperformance evidence the ability to exceed expectations of others.

Core Competencies:

Global Acumen - Developing and incorporating an understanding of the competitive global business environment as well as an awareness of economic, ethical, social and political trends that impact the BNY Mellons regional and global strategy;

Establishing Strategic Direction - Establishing and committing to a long-range course of action to accomplish a long-range goal or vision after analyzing factual information and assumptions taking into consideration resources, constraints and organizational values;

Developing Strategic Relationships - Using appropriate interpersonal styles and communication methods to influence, collaborate and build effective relationships with business and functional partners (e.g., peers, external vendors and alliance partners);

Building Organizational Talent - Attracting, developing and retaining talented individuals. Providing timely coaching, guidance and feedback to help others maximize their potential and meet key accountabilities. Using appropriate methods and interpersonal styles to develop, motivate and guide a team toward successful outcomes and attainment of business objectives;

Change Leadership - Continuously seeking (or encouraging others to seek) opportunities for different and innovative approaches to addressing organizational problems and opportunities;

Client Orientation where relevant assist in cultivating strategic client relationships and ensuring that the client perspective is the driving force behind all value-added business activities; and

Driving Execution - Translating strategy into operational reality. Breaking down strategic priorities or business initiatives into key tasks and identifying accountabilities. Aligning communication, people, culture, processes, resources and systems to ensure effective implementation and delivery of required results.

Qualifications

The successful candidate will ideally have experience in the following areas:

5-7 years of total work experience preferred. Financial Services, Audit or Compliance background and/or experience with financial services compliance preferred.

Markets transaction and communications surveillance gained in first or second line control function;

Transaction and communications trading and surveillance systems;

Understanding of various asset classes relevant to BNY Mellons business;

Work experience of compliance within the wholesale financial services industry;

Preparation of Management Information and internal reports;

Proven ability to engage with and influence management and the business line;

Provide leadership and knowledge transfer to other team members in relation to technical matters, specific projects and deliverables and issues;

Bachelors degree or the equivalent combination of education and experience is required.