Specialist, Reg Oversight Mgmt

  • Competitive
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • BNY Mellon
  • 20 Jul 18 2018-07-20

Specialist, Reg Oversight Mgmt

Resides in the business and supports management in the day-to-day efforts related to first line of defense regulatory oversight management with laws, rules, regulations and related policies. Performs research and analyzes relevant information and transactions that warrant further investigation. Communicates with internal and external parties as needed and makes recommendations on necessary business practice/procedural/control changes on more complex regulatory oversight management matters. Additionally, is responsible for understanding trends in the industry and making policy recommendations. This position requires knowledge of the Financial Services Industry regulations, compliance, operations or auditing. Requires strong oral and written communication skills, problem solving and project management abilities, and the ability to implement regulatory oversight management policies and procedures. Counsel business personnel on first line of defense compliance with regulations. Provide advice to entry-level employees. No direct reports: provides guidance to less experienced Sales and Trading staff and client interaction. Contributes to the achievement of team objectives.

Qualifications
Bachelors degree or the equivalent combination of education and experience is required. Advanced/graduate degree preferred. 3-5 years of total work experience preferred.
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 & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients 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 more than 100 markets. It's 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: bnymellon.com/careers.

Global Markets, through its Foreign Exchange, Derivatives, BNY Mellon Capital Markets, LLC and BNY Mellon Capital Markets EMEA Limited businesses, provides a broad array of products and services for corporate, institutional and high-net-worth investors to choose among various vehicles aimed at protecting principal, providing growth and managing risk.

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


Primary Location: United States-New York-New York
Internal Jobcode: 70402
Job: Global Markets
Organization: MARKETS CENTRAL MANAGEMENT-HR15164
Requisition Number: 1809930