Director, Compliance & Control, Pershing Securities Ltd

company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere.
We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what #LifeAtBNY is all about.
We’re seeking a future team member for the role of Director, Head of Compliance for PSL. The role holder will assume SMF16 responsibilities for PSL. This role is based at Picadilly Gardens, Manchester and reports to the EMEA Head of Compliance, Pershing who is also Co-Head of Compliance, Markets EMEA.

In this role, you’ll make an impact in the following ways:
SMF16 – Compliance Oversight
Managing the Compliance Advisory team based in Liverpool
Representing Compliance at PSL Governance Committees
Representing PSL Compliance on Regulatory Change Projects
Providing timely and accurate Management Information where relevant
Developing the compliance presence and culture within Pershing as a whole
Developing and implementing internal Compliance policies and processes to confirm ongoing compliance with regulatory requirements as required.
Facilitating the provision of general advice on regulatory and compliance issues arising and the application of the rules to situations and business developments
Liaison with senior Compliance and Risk leadership across Pershing EMEA Region and International Compliance
Participation in the development and implementation of both Compliance and business strategy in the UK
Contributing to the development of projects and programs to improve compliance and enhance the control environment
Contributing 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 with a strong academic/professional work record within legal or Compliance
Extensive experience within the UK Financial sector with a strong background in custody, wealth management, funds custody or MiFID Investment Firm environment
Previous SMF16 experience
Knowledge, experience and understanding of SMCR, Consumer Duty and trading services
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 the FCA Conduct of Business Rules, the Senior Executive Accountability Regime (SMCR), MiFID/ MiFIR and MAR rules and regulatory 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
“Most Just Companies”, Just Capital and CNBC, 2024
Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024
Bloomberg’s Gender Equality Index (GEI), 2023

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