Who we are: BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 35 countries. As of March 31, 2020, BNY Mellon had $41.7 trillion in assets under custody and/or administration, and $2.2 trillion in assets under management. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation (NYSE: BK). Additional information is available on www.bnymellon.com. Follow us on Twitter @BNYMellon or visit our newsroom at www.bnymellon.com/newsroom for the latest company news. Job description: Independently contributes to the compliance efforts of multiple assigned business units. Responsible for assisting the business units to bring them into compliance with complex regulatory and policy requirements pertaining to the company’s personal securities trade monitoring. In partnership with business unit managers, responds to and develops compliance reporting. Based on assessments of controls, works with business units to implement improvements including the completion of appropriate documentation when control changes are made. Analyzes existing and proposed legislation, regulatory announcements and industry practices in order to help the assigned businesses develop and implement procedures to meet existing and upcoming requirements. May assign analysis activities to more junior professionals. Contributes to the development of projects and programs to improve compliance and enhance the control environment. Analyzes control processes to ensure they are in compliance with all applicable laws, rules and regulations Validates the appropriateness of control processes or guides the assigned business units in implementing improvements. May provide guidance to more junior professionals to improve their understanding of compliance, control and documentation policies. Maintains strong working relationships with outside regulators, government officials and senior business unit managers in order ensure the timely delivery of information and increase the likelihood of favorable conditions for compliance activities. Uses strong partnerships with managers in the assigned business unit to respond to reports issued by regulatory agencies or audit. Contributes to assessments of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting BNY Mellon businesses. Helps prepare risk based reviews of existing and emerging regulatory requirements, concerning issues and control gaps. May contribute to the development of recommendations for policy violations tracking to ensure resolution efforts proceed timely and effectively. Contributes to the preparation of time sensitive reporting and appropriately escalates issues to management. No direct reports,, provides guidance to more junior team members, as needed. Contributes to the achievement of team objectives. Modified based upon local regulations/requirements. Qualifications Qualifications: A successful candidate should ideally have these qualifications: Bachelor s degree or the equivalent combination of education and experience is required. Business or Finance degree preferred. 7-10 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 is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans. Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums. Primary Location: United States-Pennsylvania-Pittsburgh Internal Jobcode: 85161 Job: Risk Organization: Compliance-HR06015 Requisition Number: 2116830