Business Compliance Officer

2 weeks ago

Houston, United States The Bank of New York Mellon Corporation Full time

**Overview of BNY Mellon**:
BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 35 countries and serving more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations, and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team.

**Team Description: (Overview of the team)**

Risk and Compliance provide risk and compliance services across all BNY Mellon businesses including the following groups: Risk Management, Compliance, Global Corporate Security, Information Risk Management and Global Business Continuity. Risk Management oversees and delivers risk services and ensures new business risks are reviewed and approved. Compliance helps ensure BNY Mellon's businesses maintain appropriate processes to comply with applicable laws, regulations, BNY Mellon policies and ethics. In the America’s Compliance is split into four pillars; Business Compliance, Compliance Testing, Financial Crimes Compliance and Enterprise Governance. Business Compliance provides the second line of defense for compliance and regulatory issues for all lines of business in the America’s assisting the business through regulatory requirements, best practices and regulatory relationships.

**Job Purpose: (What the job role involves)**

This Business Compliance Officer (BCO) role is to support the BNY Mellon Corporate Trust line of business in the America’s by ensuring their compliance with regulatory requirements and corporate compliance policies. They will play a key role in the day-to-day activities of the Business Compliance team in relation to regulatory transformational projects, Business Acceptance, strategic programs.

In addition, the BCO Compliance Officer will represent Compliance at senior internal business/governance forums and external meetings, as required. The role requires providing guidance and advice to key stakeholders in the first and second lines of defense on a wide range of topics, including compliance, regulatory and operational elements of Corporate Trust products, services, roles and responsibilities.

**Responsibilities: (Key parts to the job role)**
- Provide accurate and timely technical advice and guidance to business/business partner colleagues on regulatory compliance and operational issues.
- Maintains strong working relationships with senior business unit managers in order to ensure the timely delivery of information and increase the likelihood of favorable conditions for compliance activities
- Analyze existing rules, regulations, consultative papers and other regulatory announcements and industry practices to ensure the Corporate Trust business is in compliance with current requirements.
- Evaluate control processes to ensure they are designed to mitigate risks arising from applicable laws, rules and regulations and are operating effectively; work with the business to design, implement and document improvements to those controls, where necessary.
- Provide input to the strategic direction of the BCO responsibilities
- Undertake Compliance Risk Assessments for Corporate Trust and collaborate with the business to remediate residual risks and control weaknesses
- Support the business and provide challenge on all other assessments that impact the business.
- Provide constructive challenge within meetings regarding relevant regulatory requirements.
- Contributes to the development of projects and programs to improve compliance and enhance the control environment.
- Participate in or lead the development and delivery of Compliance related training.
- Provide support to the Business and Compliance Testing and Audit teams at the appropriate stages of Compliance Testing and Audit reviews. This comprises sharing of information with Compliance Testing and Audit colleagues regarding the business lines and/or regulatory themes they are planning to review and assisting the Business in designing and implementing any corrective action identified through the testing or audit reviews.
- Contribute to the preparation of time sensitive reporting and appropriately escalate issues to more experienced professionals.
- Contributes to the establishment of key risks indicators (KRIs) and tracking and reporting methodologies as part of a standard system of measurement and reporting.
- Contributes to the achievement of team objectives.
- Other duties as required

**Requirements; (what we are looking for)**

**Qualifications**:
Bachelor‘s degree or the equivalent combination of education and experience is required. Business, Law or Finance degree preferred. Paralegal, MBA or Law degree a plus.

Industry compliance qualifications/Professional qualifications

**Technical Competence & Experience**:

- Prior experience 10-12 years of total work experience preferred.

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