UK Compliance Officer Investment Services Fund Admin Job

UK Compliance Officer Investment Services Fund Admin (Job Number: 1313557)

Description

Job Purpose:

( Outline the remit of the role and how the role fits within the respective team/department )

The role of the UK Compliance Officer Investment Services Fund Admin is primarily to support BNY Mellon to remain compliant with regulatory and corporate compliance policies. This is achieved primarily through the following:

• The provision of technical advice to business/buisness partner colleagues on regulatory compliance issues. This will include proactively identifying and advising upon emrging Compliance issues.

• Representing Compliance within business driven projects, helping to ensure that BNY Mellons regulatory obligations are taken account of within the project.

• Representing BNY Mellon at relevant industry events/ forums.

• Participation in internal business meetings and represent BNY Mellon externally as required.

• Participating in or leading the delivery of Compliance related training.

• Periodic liaison with client Compliance teams and other client compliance representatives to discuss issues of mutual interest.

In addition the role holder should be prepared to assist as required in the following activities:

• Where required participating in thematic and monitoring reviews of business activities

• oversight or assessment, communication and implementation of regulatory change to include the drafting of responses to industry papers.

• participation in ad hoc projects.

The role may require input across other BNY Mellon operations where business is outsourced. Therefore, the jobholder should be prepared to travel.

responsibilities, accountabilities, deliverables and desired output of the role, as well as key relationships, e.g. clients, internal liaison points, external organisations etc.)

• Provide accurate and timely technical advice to business/buisness partner colleagues on regulatory compliance issues.

• Represent Compliance within business driven projects. Provide constructive challenge to help ensure that BNY Mellons regulatory obligations are taken account of within the project.

• Represent BNY Mellon at relevant industry events/ forums.

• Participate in internal business meetings and represent BNY Mellon externally as required. Ensure that any reports required for those meetings are provided in a timely manner and are focused and relevant to the meeting topic. Provide constructive challenge within meetings regarding relevant regulatory requirements.

• Participating in or leading the delivery of Compliance related training.

• Where required participate in compliance monitoring reviews. This is likely to comprise sharing of information with Compliance Monitoring colleagues regarding the business lines and/or regulatory themes they are planning to review, but could include participation in monitoring reviews where necessary.

Corporate responsibilities

• Comply with all corporate policies and procedures within the department.

• Alert management immediately of any significant changes to business risks and internal controls effectiveness.

• Notify management and/or Compliance immediately of any regulatory breach.

• Comply with health and safety policies and procedures operating within the business.

Qualifications

Person Specification:

BNYM Core Competencies:

• Adaptability

• Communication

• Customer Orientation

• Interpersonal Skills

• Judgment

• Managing Risk

Job Specific Competencies:

Analytical Thinking: The ability to understand a situation by breaking it apart into smaller pieces, or tracing the implications of a situation in a systematic step-by-step manner.

Conceptual Thinking: The ability to identify patterns or connections between situations that are not obviously related and to determine key underlying issues in complex situations.

Problem Solving: The ability to build a logical approach to resolve problems or manage the situation at hand by drawing on own knowledge and experience and calling on other references and resources as necessary.

Work Quality: The ability to demonstrate attention to detail to achieve quality results.

Planning and Organising: The ability to establish a systematic course of action for self or others to ensure consistent accomplishment of specific objectives.

Motivation: The ability to create an environment that promotes a sense of achievement, caring and satisfaction; a concern for working against high standards of excellence.

Primary Location: Manchester, Manchester, GB
Internal Jobcode: 50346
Job: Audit/Compliance/Risk
Organization:

September 16, 2013 • Tags: , • Posted in: Financial

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