Compliance & Control, Markets EMEA - Senior Vice President
In this role, you’ll make an impact in the following ways:
To ensure that Markets meets the corporate requirements of the group as well as the strategic requirements of the Bank of New York within the specific remit for areas of responsibility.
To ensure that the areas of responsibility of the role are running efficiently and effectively and in a controlled manner, including reflecting appropriate apportionment of responsibilities, segregation of duties and controls to prevent conflicts of interest.
Responsible for working with business lines and business partner functions to review the impact of regulatory change and to participate in working groups as the Compliance Specialist for Markets
Working with other Compliance professionals across the broader EMEA Compliance team to ensure co-ordinated and complete delivery of services and effective communication of relevant information and observations.
Engaging with the Markets business and compliance functions in the regional offices, US and APAC
Responsible for recording and preparing escalation data on Compliance issues impacting Markets in line with Group and local processes
Representing Markets Compliance function and providing appropriate challenge at relevant internal and external meetings where required
Contribute to the development of projects and programs to improve compliance and enhance the control environment.
To be successful in this role, we’re seeking the following:
Preferably degree education and/or industry qualifications
Compliance experience, covering wholesale markets compliance, specifically equities and fixed income, money market funds, FX, etc.
Experience working in a compliance function within a global organisation
Ability to deliver multi-mode communications that convey a clear understanding of the unique needs of different audiences
Detailed knowledge of FCA, MiFID, MIFIR, EMIR and MAR rules and regulatory requirements
Knowledge/awareness of US FINRA broker dealer requirements
At BNY, our culture speaks for itself. Here’s a few of our awards:
America’s Most Innovative Companies, Fortune, 2024
World’s Most Admired Companies, Fortune 2024
Human Rights Campaign Foundation, Corporate Equality Index, 100% score, 2023-2024
Best Places to Work for Disability Inclusion , Disability: IN – 100% score, 2023-2024
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Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024
Bloomberg’s Gender Equality Index (GEI), 2023