Senior Specialist, Compliance & Control

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

• Supports day-to-day Securities Trading Conduct compliance efforts, with a focus on transaction monitoring.
• Review and investigate employees’ transaction monitoring alerts in a timely manner, ensuring adherence to the Policy
• Provide guidance to employees on the Personal Securities Trading Policy
• Ensure adequate records are maintained when closing alerts
• Review any escalated items and if required, escalate items 
• Ensure employees transfer reportable accounts to an approved broker
• Work with the business compliance officers as required during escalation process
• Attend meetings and workshops as required in relation to the Personal Securities Trading Policy

• Assist with ad-hoc projects as required

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

• Knowledge of the financial services industry, U.S. securities markets, investment instruments, and compliance concepts
• Strong analytical skills, problem-solving ability and attention to detail;
• Experience in Financial Services, Audit or Compliance background
• Technical skills, particularly proficiency in Excel
• Excellent interpersonal skills and a collaborative mindset

At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.

Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.