Sr. Principal, Compliance (Policy Lead)
Posted on: 15 Mar 2021
Pittsburgh, PA
Job Description
Responsible for developing the oversight strategy of regulatory compliance policies. Advises policy subject matter experts on the requirements and standards set by the companys policy governance office (PGO). Responsible for oversight of compliance-owned policies to confirm accuracy, timeliness and completeness. Serve as the Compliance Departments primary liaison with the PGO to ensure the department is meeting its goals for policy conformance within established timelines. May author selected policies and serve as a primary reviewer of all compliance-owned polices.
Develop an improvement process, along with Compliance management, to rationalize compliance policies and oversee the inventory of assigned policies. Provide communications and training to the compliance community to improve their understanding of compliance policies and create tools for business compliance officers to communicate new and changed policy requirements to the businesses and corporate staff.
Develop reporting to track compliance with policy reviews and releases and present findings to senior leadership. Contribute to the establishment of key risks indicators (KRIs) and oversee the tracking, measurement and reporting of such KRIs to senior management.
Qualifications
Bachelor s degree or the equivalent combination of education and experience is required. Business or Finance degree preferred. 15-18 years of total work experience preferred. Financial Services, 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.
BNY Mellon
New York, New York
The Bank of New York Mellon Corporation provides a range of financial products and services to institutions, corporations, and high net worth individuals in the United States and internationally. The company operates through two segments, Investment Management and Investment Services. It offers investment management, custody, foreign exchange, fund broker-dealer, collateral and liquidity, clearing, corporate trust, global payment, trade finance, and cash management services, as well as securities finance and depositary receipts. The company also provides mutual funds, separate accounts, and wealth management and private banking services; and trust and registered investment advisory services. In addition, it engages in leasing, corporate treasury, derivative and other trading, corporate and bank-owned life insurance, renewable energy investment, and business exit activities. The Bank of New York Mellon Corporation was founded in 1784 and is headquartered in New York, New York.
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IndustryBanking/Financial Services
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No. of Employees49,800
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Website
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Jobs Posted1742
