What are the responsibilities and job description for the FCC Advisory – Broker-Dealers, Markets, and Investment position at BNY Mellon?
FCC Advisory – Broker-Dealers, Markets, and Investment Management
Lake Mary, FL, United States • Pittsburgh, PA, United States
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ID: 42864
ID: 42864
Job Description
FCC Advisory – Broker-Dealers, Markets, and Investment Management
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.
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 238 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.
We’re seeking a future team member for the role of FCC Advisory – Broker-Dealers, Markets, and Investment Management to join our BNY Mellon Team. This role is located in Lake Mary FL or Pittsburgh, PA - HYBRID.
In this role, you’ll make an impact in the following ways:
- Responsible for providing AML/FCC advisory coverage for various legal entities and lines of business in the Broker-Dealer, Markets, and Investment Management segments of the Company, while overseeing and managing highly complex matters with the potential to act as the AML Officer for one or more businesses.
- Directs the team's assessment of regulatory and policy requirements in order to develop programs and projects to improve multi- regional/jurisdictional compliance, and presents program and project recommendations to more senior managers and regional/jurisdictional leadership.
- Directs and manages the assessment and validation of specialized control processes to ensure compliance with laws, rules and regulations.
- Directs efforts to develop a strong compliance culture among senior business unit managers and increase organizational awareness of compliance roles and responsibilities within the assigned region/ jurisdiction.
- Uses strong, longstanding relationships with senior business unit managers to increase the likelihood of timely completion of compliance activities and responses to reports issued by regulatory agencies or audit.
- Maintains strong relationships with regulators and government officials and appropriately escalates high impact issues raised by these contacts to more senior managers or leadership.
- Directs the completion of comprehensive, risk based reviews of existing and emerging regulatory requirements and provision of prompt, focused feedback to business management on concerning issues and control gaps.
To be successful in this role, we’re seeking the following:
- Bachelor‘s degree or the equivalent combination of education and experience is required.
- Business or Finance degree preferred.
- 10-12 years of total work experience preferred.
- Financial Services, Audit or Compliance 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.
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.
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.
About BNY Mellon:
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance and technology. 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 238 years of rich history and industry firsts, BNY Mellon has been built upon our ability to evolve, lead and drive new ideas at every turn. Today, we’re approximately 50k employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself.
Salary : $90,900 - $115,000
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