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Reference #: 55435
Vice President, Compliance & Control (Testing, Markets / Swap Dealer)
At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world\'s financial system we touch nearly 20% of the world\'s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere.
We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what #LifeAtBNY is all about.
We\'re seeking a future team member for the role of Vice President, Compliance & Control (Markets / Swap Dealer) join our Risk & Compliance Assurance and Testing, Enterprise-Wide Risk Management - Americas Compliance Testing Team. This role is located in Pittsburgh, PA and Lake Mary, FL - HYBRID
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Reference #: 54737
Vice President, Compliance and Control-Financial Crimes Compliance (FCC) Advisory (Corporate Trust (CT), Asset Servicing & Digital (ASD), Depositary Receipts (DR)
At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world\'s financial system we touch nearly 20% of the world\'s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere.
We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what #LifeAtBNY is all about.
We\'re seeking a future team member for the role of Vice President, Compliance and Control-Financial Crimes Compliance (FCC) Advisory (Corporate Trust (CT), Asset Servicing & Digital (ASD), Depositary Receipts (DR) to join our Risk & Compliance team. This role is located in Pittsburgh, PA / Lake Mary, FL. - Hybrid
In this role, you\'ll make an impact in the following ways:
BNY\'s global Financial Crimes Compliance group is responsible for the Firm wide Anti-Money Laundering (AML)/Know Your Customer (KYC)/Customer Due diligence (CDD) and Economics Sanctions Compliance (collectively \"FCC\") Program. The team provides oversight of the day-to-day and strategic implementation of the Firm\'s enterprise-wide financial crime prevention efforts. This includes providing the appropriate governance, oversight and execution of the Firm\'s FCC programs. Part of the responsibility includes providing expertise, guidance, and support/challenge to all BNY Mellon businesses globally on FCC policies and requirements, including the various dedicated KYC utilities that assist the businesses in implementing FCC requirements globally.
This role includes the application of FCC regulatory knowledge and industry experience to continually enhance and sustain a robust set of FCC requirements and provision of advice on an ongoing basis. The incumbent must work effectively with multiple stakeholders within the institution to enhance their understanding of compliance and overall enterprise risks, as well as the risk management and implementation of mitigating control as SME around FCC Compliance (including USA PATRIOT Act/Bank Secrecy Act and various EMEA and APAC AML regulations).
Supporting CT, ASD, DR, to enhance their understanding of financial crimes compliance and overall enterprise risks, as well as the risk management and implementation of mitigating controls. Based on assessments of controls, advise business units on the implementation of improvements and the completion of appropriate documentation when control changes are made.
Independently contributes to global compliance and associated control environments and striking the balance between serving as a trusted advisor to the businesses and encouraging a culture of robust challenge to the businesses.
Analyzing existing and proposed legislation, regulatory announcements, and industry practices to advise BNY businesses, KYC operations and other stakeholders in developing and implementing procedures to meet existing and upcoming requirements and verify compliance with complex regulatory and policy requirements; make recommendations on compliance risks as well as benchmark
Compliance processes and workflows against evolving industry standards.
Providing enterprise-wide advice on entire business units\' strategy changes to further improve their ability to remain in compliance with or become compliant with organizational policies and regulations.
Provision of strategic advice and inputs to the FCC compliance policy and standards development process in the areas pertaining to U.S. and global regulations by working with key compliance partners in respective EU countries where BNY has a resence. Provide strategic guidance and inputs for risk assessments in the relevant subject matter areas.
Working with multiple stakeholders within the institution to enhance their understanding of compliance and overall enterprise risks, as well as the risk management and implementation of mitigating controls.
Supporting the governance and oversight at the business level of firm-wide AML/KYC/OFAC efforts to plan, coordinate, and track the implementation of the Firm\'s Global KYC policy standards.
Coordination with FCC colleagues on the implementation and continued maintenance of Customer and Product Risk Rating methodology and controls.
Based on assessments of controls, advise business units on the implementation of improvements and the completion of appropriate documentation when control changes are made.
Provide day to day Financial Crimes Compliance (FCC) advisory and challenge for the following businesses: (CT, ASD, and DR) AML/KYC practices/protocols, including but not limited to, approval of High-Risk customer approvals, escalations, and advisory support to the business.
Review negative news as it relates to the business customers, beneficial owners etc., and when a financial crimes risk is identified; ensure the information, and any mitigants, are presented to proper governance committees, as required.
Review, challenge, and approval of the businesses\' Financial Crimes Risk Assessment, which requires an understanding of both business processes and appropriate risk ratings of the respective business.
Meet with business stakeholders and the customer due diligence (CDD) representative to determine any potential FCC risks which have been identified during business or root cause analysis (RCAs) which may have a financial crime impact.
Schedule periodic pro-active meetings with FCC peers across the firm\'s businesses to determine any FCC challenges that may exist and should be escalated to senior management to address accordingly.
To be successful in this role, we\'re seeking the following:
Core skills required to achieving success in the role include knowledge and familiarity with U.S. and global AML Laws/Regulations including for Banks and NBFIs.
The ability to comprehend changes to laws and regulations including reporting impact of changes to colleagues and senior management are important with strong written and verbal skills in order to communicate with senior management and staff. Able to provide training to businesses covered.
Experience in defining and executing KYC change controls and periodic refresh strategy.
Operational knowledge of KYC rules implementation and maintenance. The role includes the needs to assist in maintaining strong working relationships with outside regulators, government officials and senior business unit managers to ensure the timely delivery of information and increase the likelihood of favourable conditions for compliance activities.
Bachelor\'s degree or the equivalent combination of education and experience is required. MBA, or professional certification preferred.
5-7 years of total work experience preferred. Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with Banking/Payments and assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.
Our Benefits and Rewards:
BNY 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 life\'s journey. Focus on your health, foster your personal resilience, and
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Reference #: 56962
Vice President, SOX Control & Compliance I
Bring your ideas. Make history.
BNY offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world\'s 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 world\'s top banks work with us as we lead and serve our customers into the new era of digital.
With over 240 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, we\'re approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNY is all about.
We\'re seeking a future team member for the role of Vice President, SOX Control & Compliance to join our Finance team. This role is located in Pittsburgh, PA - HYBRID.
In this role, you\'ll make an impact in the following ways:
Assess compliance with Basel Committee on Banking Supervision Section 239 risk reporting and data aggregation requirements.
Evaluate the design of controls over the BCBS 239 reporting processes to ascertain whether control objectives related to accuracy, completeness, validity, and timeliness are adequately addressed.
Identify control gaps related to the BCBS 239 framework components through verification and testing. Identify risks that could potentially cause a material misstatement.
With minimal guidance, performs the assessment of internal controls over financial reporting to ensure compliance with the Sarbanes-Oxley Act (\"SOX\").
Assigned business/business partner areas are typically small to medium in size and may be complex.
Supports senior team members in the execution of the BIV assessment program, in providing thorough and reliable identification of in-scope accounts and locations, planning, testing, documentation, and reporting of the effectiveness of BCBS 239 reporting for delivery to the senior management and external committees.
With minimal guidance, assesses business processes, identifies control deficiencies and recommendations, and prepares work papers and documentation to support the annual assessment.
Supports more senior colleagues by tracking the status of deficiencies, reviews remediation by process owners and delivers reporting findings to SOX leadership and management.
With some supervision, helps to provide support for the integration of internal controls into finance processes and systems to other members of the organization. No direct reports. Contributes to the achievement of team goals.
To be successful in this role, we\'re seeking the following:
Bachelor\'s Degree or the equivalent combination of education and experience is required.
5-7 years of total work experience preferred.
Experience in public accounting, SOX testing, financial services or shared services is preferred.
Certified Public Accountant (CPA) or Chartered Accountant (CA) certification is preferred.
At BNY Mellon, our inclusive culture speaks for itself. Here\'s a few of our awards:
Fortune World\'s Most Admired Companies & Top 20 for Diversity and Inclusion
Bloomberg\'s Gender Equality Index (GEI)
Best Places to Work for Disability Inclusion, Disability: IN - 100% score
100 Best Workplaces for Innovators, Fast Company
Human Rights Campaign Foundation, 100% score Corporate Equality Index
CDP\'s Climate Change \'A List\'
Our Benefits:
BNY 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 life\'s journey. Focus on your health, 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 matt r.
BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
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Duquesne Light Company, headquartered in downtown Pittsburgh, is a leader in providing electric energy and has been in the forefront of the electric energy market, with a history rooted in technological innovation and superior customer service. Today, the company continues its role as a leader in the transmission and distribution of electric energy, providing a secure supply of reliable power to more than half a million customers in southwestern Pennsylvania.
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CDS Operator/Document Control Coordinator
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Federated Hermes Career Opportunity
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Reference #: 58148
Senior Associate, Control
Bring your ideas. Make history.
BNY offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world\'s 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 world\'s 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 has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we\'re approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.
We\'re seeking a talented Senior Associate, Control to join our Reconciliations & Control Team. This role is located in Pittsburgh, PA- Hybrid.
In this role, you\'ll make an impact in the following ways:
Identifies, analyzes, monitors, and completes control testing, control and risk education, and operational and risk support activities to the business.
Interprets regulations affecting control standards with large degree of independence and suggests methods of updating policies and practices to address any risk concerns.
Prepares reports and provides insight to business on control / risk management including Error / Near Miss analyses.
Responsible for interpreting regulations in order to adjust and improve internal controls.
Ensures that existing control and business recovery practices and procedures are documented.
To be successful in this role, we\'re seeking the following:
Bachelors degree in accounting or the equivalent combination of education and experience is required
3-5 years of total work experience preferred. Experience in the securities or financial services industry is preferred
At BNY, our inclusive culture speaks for itself. Here\'s a few of our awards:
Fortune World\'s Most Admired Companies & Top 20 for Diversity and Inclusion
Bloomberg\'s 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
CDP\'s Climate Change \'A List\'
Our Benefits:
BNY 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 life\'s journey. Focus on your health, 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 is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
