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Client Execution Quality Analyst

BNY Mellon
New York, United States
Posted about 20 hours ago Permanent Competitive
Client Execution Quality Analyst
Overview

Company, Team & Role: BNY Mellon's Pershing has supported many of the world's most sophisticated and successful financial services firms for more than 80 years. Wealth and institutional firms rely on us for clearing and custody, trading and settlement services, a broad suite of investment solutions, middle and back office support, data insights, and business consulting. BNY Mellon's Pershing offers both Wealth Solutions for broker-dealers, registered investment advisors (RIA) and trust company clients, and Institutional Solutions for prime brokers and institutional broker-dealers.

Responsibilities:
  • Monitors and audits the firm's transactions and analyzes and reviews the organization's activities.
  • Provides analysis and development of reports related to all aspects of account activities, market manipulation, and broker-dealer practices and procedures.
  • Assembles and analyzes data patterns and trends, which may indicate unusual account activity.
  • Identifies areas requiring additional investigations.
  • Prepares detailed charts and reports for management review.
  • Analyzes required regulatory filings for adherence to external and internal compliance standards, reports findings to management for review and action, if required.
  • Responds to questions and inquiries on policies and/or on-going audits.
  • Participates in the development of policies or procedures to implement new surveillance requirements.
  • Participates in the development for design and implementation of organization's training, ensuring that training provides up-to-date information in a fast-changing environment.

The successful candidate will demonstrate/possess:
  • Bachelor's degree or the equivalent combination of education and experience is required.
  • 5-7 years of total work experience preferred.
  • Experience in trading or brokerage preferred.
  • Series 7 License is required at the time of hire.

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.

Employer Description:

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 and 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.

EEO Statement:

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.
Job ID  6345
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