Sr Specialist, RegOversightMgmt Sr Specialist, RegOversightMgmt …

BNY Mellon
in New York, NY
Permanent, Full time
Be the first to apply
BNY Mellon
in New York, NY
Permanent, Full time
Be the first to apply
Sr Specialist, RegOversightMgmt
Position Summary:
Resides in the business and manages first line of defense oversight management efforts as they relate to regulatory, audit and policy requirements. Thorough knowledge of Financial Services rules and regulations include Regulation 9. Demonstrated problem solving and analytical ability, and strong oral and written communication skills. Must have the ability to supervise small teams and projects and develop solutions for oversight management issues.

Primary Responsibilities:
Analyzes existing policies, audit requirements, regulatory announcements, and industry practices for first line of defense compliance requirements. Provide Regulation 9 investment review approvals and other approvals when needed to resolve escalated issues.

Helps businesses develop procedures to meet compliance and audit requirements.

Implement project plans to ensure compliance with laws, rules and regulations, internal policies and manage risk. Contributes to the development of projects and programs, including training, to improve compliance and enhance the control environment. Active participation on various committees and projects.

Provide guidance and training to front office employees to improve their understanding of compliance, control and documentation policies. Maintain strong working relationships with business unit managers and internal business partners in order to ensure the timely delivery of information and increase the likelihood of favorable conditions for compliance activities.

No direct reports: provides technical advice/guidance to less experienced team members.

Job Scope:
Contributes to the achievement of team objectives. Supports complex projects and provides insight on interpretation of regulations.


Bachelor's degree or the equivalent combination of education and experience is required. Business or Finance degree 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 the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.

Preferred qualifications:
- Strong knowledge and understanding of Regulation 9 and fiduciary account administration
- Solid problem solving skills
- Excellent verbal, written and interpersonal skills
- Ability to foster effective relationships

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-New York-New York
Internal Jobcode: 70401
Job: Wealth Management
Organization: Advice Planning and Fiduciary-HR16024
Requisition Number: 2101771
BNY  Mellon logo
More Jobs Like This
See more jobs