Ethics & Compliance Business Unit Specialist supports and coordinates the activities of the organization's global ethics and compliance function. Assists with the delivery and maintenance of programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organization. Being an Ethics & Compliance Business Unit Specialist prepares materials that communicate the organization's ethical standards, policies, and regulations. Supports or delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Additionally, Ethics & Compliance Business Unit Specialist generates reports of compliance monitoring statistics, investigations, outcomes, and remediations of any non-compliant actions. May administer reporting systems or helplines for employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. May require a bachelor's degree or equivalent. Typically reports to a manager or head of a unit/department. The Ethics & Compliance Business Unit Specialist occasionally directed in several aspects of the work. Gaining exposure to some of the complex tasks within the job function. To be an Ethics & Compliance Business Unit Specialist typically requires 2-4 years of related experience. (Copyright 2024 Salary.com)
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)
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:
Key Competencies and skills:
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