Compliance & Control, Markets EMEA - Senior Vice President

BNY Mellon; London; On-site; GBP 80,000 - 120,000; Full time

Job summary

Join a leading global financial services company as a Senior Vice President in Compliance & Control. This pivotal role will have you ensuring compliance with corporate and regulatory requirements while collaborating with various business lines across EMEA. You'll leverage your extensive compliance experience to make an impact in a dynamic environment, working with a diverse team to enhance the control framework. If you thrive in a fast-paced setting and are passionate about compliance, this is your chance to contribute to a company that values growth and innovation in the financial sector.

Qualifications

• Degree education or industry qualifications preferred.
• Experience in wholesale markets compliance, especially equities and fixed income.

Responsibilities

• Ensure compliance with corporate and regulatory requirements.
• Collaborate with business lines to assess regulatory changes.

Skills

Compliance experience

Knowledge of FCA rules

Knowledge of MiFID regulations

Communication skills

Understanding of US FINRA requirements

Education

Degree education

Industry qualifications

Job description

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At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere.

We're seeking a future team member for the role of Compliance & Control, Markets EMEA - Senior Vice President to join our Markets Compliance team. This role is based in Queen Victoria Street, London and reports to the Co-Heads of UK Markets, Fixed Income, Equities and CCM.

In this role, you'll make an impact in the following ways:

• Ensure that Markets meets the corporate requirements of the group as well as the strategic requirements of the Bank of New York within the specific remit for areas of responsibility.
• Ensure that the areas of responsibility of the role are running efficiently and effectively and in a controlled manner, including reflecting appropriate apportionment of responsibilities, segregation of duties and controls to prevent conflicts of interest.
• Work with business lines and business partner functions to review the impact of regulatory change and to participate in working groups as the Compliance Specialist for Markets.
• Collaborate with other Compliance professionals across the broader EMEA Compliance team to ensure co-ordinated and complete delivery of services and effective communication of relevant information and observations.
• Engage with the Markets business and compliance functions in the regional offices, US and APAC.
• Record and prepare escalation data on Compliance issues impacting Markets in line with Group and local processes.
• Represent Markets Compliance function and provide appropriate challenge at relevant internal and external meetings where required.
• Contribute to the development of projects and programs to improve compliance and enhance the control environment.

To be successful in this role, we're seeking the following:

• Preferably degree education and/or industry qualifications.
• Compliance experience, covering wholesale markets compliance, specifically equities and fixed income, money market funds, FX, etc.
• Experience working in a compliance function within a global organisation.
• Ability to deliver multi-mode communications that convey a clear understanding of the unique needs of different audiences.
• Detailed knowledge of FCA, MiFID, MIFIR, EMIR and MAR rules and regulatory requirements.
• Knowledge/awareness of US FINRA broker dealer requirements.

BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.