Principal, Regulatory Oversight Management

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • BNY Mellon
  • 23 Oct 17 2017-10-23

Principal, Regulatory Oversight Management

Position Summary:

With the increasing emphasis on compliance with regulation affecting the EMEA Asset Servicing Business, this role resides in the EMEA AS business and manages the first line of defense regulatory oversight management efforts as they relate to moderately complex regulatory and policy requirements.  Thorough knowledge of Financial Services rules and regulations (or demonstrate the ability to learn new regulations as needed).  Strong problem solving, analytical ability, oral and written communication skills.  Possesses the ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving. Must have ability to deal effectively with senior managers.


• Ownership of the framework for regulatory control including evidencing compliance, supporting the senior manager and certified staff in meeting their obligations and working to continuously enhance the control environment

• Representing the EMEA AS business in legal entity control forums

• Analyses existing legislation, regulatory announcements and industry practices for the first line of defence compliance requirements

• Helps businesses develop and implement procedures to meet compliance requirements

• Validate controls or project plans to ensure compliance with laws, rules and  regulations and manage risk

• Assists business unit managers in response to reports issued by regulatory agencies or audit

• Provide guidance and training to entry-level employees

• Manages periodic review of compliance procedures and provides sign-off or advice to the senior manager in relation to regulatory attestations.

• The incumbent will be required to partner and influence senior management, both within Asset Servicing and other Investment Services businesses to ensure ongoing compliance, as well as legal, risk and compliance at all levels on any regulatory matter with presence and credibility




• Bachelors degree or the equivalent combination of education and experience is required. Advanced/graduate degree preferred.

• Experience of either regulatory analysis or legal analysis in the financial services space.

• A good understanding of the Asset Servicing business sector

• Excellent written and verbal communication skills




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:

BNY Mellon's Asset Servicing business is dedicated to dynamically supporting our clients' investments and safeguarding their assets, keeping them working around the clock and across the world. It's part of our commitment to being a true partner for our clients' investment success. We specialize in operational solutions and capabilities for today's market-enhancing management and administration of investments with services that process, monitor and measure investment data from around the world. By leveraging BNY Mellon's global footprint and deep expertise, we deliver insight-driven solutions for every phase of investing.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: United Kingdom-Greater London-London
Job: Asset Servicing
Internal Jobcode: 70400
Organization: ASSET SERVICING EMEA-HR06400
Requisition Number: 1713223