Compliance & Control, Markets EMEA - Senior Vice President

NA; London; On-site; GBP 100,000 - 150,000; Full time

Job summary

A leading financial services company is seeking a Senior Vice President for Compliance & Control in London. This role involves ensuring regulatory adherence and effective coordination within the compliance function, with primary responsibilities including communication with business lines and regulatory reviews.

Benefits

Highly competitive compensation

Generous paid leaves

Focus on health and wellbeing programs

Qualifications

• Preferred degree education and industry qualifications.
• Experience in wholesale markets compliance.
• Global organization compliance function experience required.

Responsibilities

• Ensure that Markets meets corporate and strategic requirements.
• Coordinate with Compliance professionals across regions.
• Prepare escalation data on Compliance issues.

Skills

Compliance experience

Multi-mode communications

Knowledge of FCA, MiFID, MIFIR

Detailed knowledge of regulations

Education

Degree education or industry qualifications

Job description

Compliance & Control, Markets EMEA - Senior Vice President

Compliance & Control, Markets EMEA - Senior Vice President

19 hours ago Be among the first 25 applicants

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 continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what is all about.

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 EMEA Markets, Corporate Treasury and CCM Compliance.

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

• To 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.
• To 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.
• Responsible for working 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
• Working 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.
• Engaging with the Markets business and compliance functions in the regional offices, US and APAC
• Responsible for recording and preparing escalation data on Compliance issues impacting Markets in line with Group and local processes
• Representing Markets Compliance function and providing 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
• At BNY, our culture speaks for itself. Here’s a few of our awards:
• America’s Most Innovative Companies, Fortune, 2024
• World’s Most Admired Companies, Fortune 2024
• Human Rights Campaign Foundation, Corporate Equality Index, 100% score, 2023-2024
• Best Places to Work for Disability Inclusion , Disability: IN – 100% score, 2023-2024
• “Most Just Companies”, Just Capital and CNBC, 2024
• Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024
• Bloomberg’s Gender Equality Index (GEI), 2023
  
  

Our Benefits And Rewards

BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.

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

Seniority level

• Seniority level

  Executive

Employment type

• Employment type

  Full-time

Job function

• Job function

  Accounting/Auditing and Finance

• Industries

  Wireless Services

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