Vice President, Compliance Officer - Corporate Finance

Overview

Bring your ideas. Make history.
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the “bank of banks” - 97% of the world’s top banks work with us as we lead and serve our customers into the new era of digital.

With over 239 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we’re approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.

The Vice President, Compliance Officer – Corporate Finance is a member of the Bank Regulatory and Finance Compliance Group and supports the firm’s Corporate Finance function as the Compliance Officer for Finance’s regulatory obligations. This role is located in Lake Mary, FL or Pittsburgh, PA - HYBRID.

Responsibilities

• Independently contributes to the continued development and implementation of the compliance function that is responsible for oversight and challenge of the Finance function, with particular focus on U.S. regulatory obligations
• Partners with Finance to facilitate compliance with complex regulatory and policy requirements
• Based on assessments of controls, works with Finance to implement improvements and develop documentation when control changes are made
• Analyzes existing and proposed legislation, regulatory announcements and industry practices in order to help Finance develop and implement procedures to meet existing and upcoming requirements
• Contributes to the development of projects and programs to improve compliance and enhance the control environment
• Able to understand the control environment quickly and analyze control processes to determine whether they are compliant with applicable laws, rules and regulations.
• Reviews the appropriateness of control processes and guides Finance in implementing improvements
• May provide guidance to junior professionals to improve their understanding of compliance, control and documentation policies
• Maintains strong working relationships in order ensure the timely delivery of information and increase the likelihood of favorable conditions for compliance activities
• Uses strong partnerships with Finance managers to respond and collaborate on reports issued by regulatory agencies or audit
• Understands underlying risks and helps prepare risk-based reviews of existing and emerging regulatory requirements, concerning issues and control gaps
• May contribute to the development of recommendations for corrective action and issue tracking to ensure resolution efforts proceed timely and effectively
• Contributes to the preparation of time sensitive reporting and appropriately escalates issues to management

Qualifications

• Excellent communication skills and experience building and maintaining successful working relations with stakeholders
• Excellent drafting skills with the ability to provide concise briefings capturing key points
• Able to analyze regulations and assess their applicability to business activity
• Detail-oriented with the ability to communicate information clearly and effectively
• Able to quickly adjust to corporate and regulatory changes and shifting priorities
• Audit, Compliance or Controls related investigation experience
• Bachelor‘s degree or the equivalent combination of education and global experience in a global business environment. Business, Finance or Law degree preferred.
• 5+ years of work experience with Compliance, audit, or finance background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.
• Audit, Compliance or Controls related investigation experience.
• Proven background of working in a complex banking or financial services organization
• Knowledge of US Financial Services Regulations.

At BNY Mellon, our inclusive culture speaks for itself. Here’s a few of our awards:

• Fortune World’s Most Admired Companies & Top 20 for Diversity and Inclusion
• Bloomberg’s Gender Equality Index (GEI)
• Best Places to Work for Disability Inclusion, Disability: IN – 100% score
• 100 Best Workplaces for Innovators, Fast Company
• Human Rights Campaign Foundation, 100% score Corporate Equality Index
• CDP’s Climate Change ‘A List’

Our Benefits:

BNY Mellon 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 that can support you and your family through moments that matter.

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

Employer Description:
For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.
EEO Statement:
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans. Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.