BNY Mellon Careers

Senior Principal, Regulatory Oversight Management - Clearing

London, United Kingdom

Job Description

Job Purpose:

The role is primarily to support the Treasury Services (TS) business line in the EMEA region to ensure compliance with regulatory and corporate compliance policies. Ensure TS business line is provided with accurate and timely advice of regulatory compliance issues. Work with business units/business partner functions to help them deal with the impact of regulatory changes and to manage the TS business relationship with relevant regulators and seek to embed a compliance culture throughout the organisation.

Role and Responsibilities

• Resides in the business as first line of defence regulatory oversight as it relates to complex regulatory and policy requirements, program and project development and management.

• Analyses complex existing and proposed legislation, regulatory announcements, and industry practices for first line of defence compliance requirements.

• Helps businesses develop and implement procedures to meet complex compliance requirements.

• Validate controls and processes to ensure compliance with laws, rules and regulations and manage risk.

• Partners with business unit managers to respond to reports issued by regulatory agencies or audit.

• No direct reports: provides technical advice/guidance to less experienced team members and may allocate work within the team.

• Contributes to the achievement of team objectives. Leads and supports multiple, complex projects and owns project timelines and leadership expectations.



• Thorough knowledge of Financial Services rules and regulations.  Solid understanding of Compliance Risk Management and best practices.  Excellent problem solving, analytical ability, oral and written communication skills. The ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving.  Ability to effectively deal with senior management as well as, Federal/State and other Regulators   Strong interpersonal skills to influence and impact business decisions over which the incumbent has no direct authority.

• Bachelors degree or the equivalent combination of education and experience is required. Advanced/graduate degree preferred.

• 10 plus years of total work experience preferred.

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 & 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:

BNY Mellon Treasury Services understands our clients face profound challenges as they move, access and apply their cash and associated business information on a global basis. Here's where BNY Mellon Treasury Services can help by blending our award-winning cash management and global payments services into customized solutions in three strategic areas: Supply chain management - Access a suite of receivables, payables and trade finance solutions that can help reduce costs, increase efficiency and strengthen control. Client Access and Liquidity Services - Active and passive cash investment strategies combined with innovative transaction and reporting tools. Global Payments Services - High-quality, 24-hour processing and customer service for international payments, enabling our clients to make cross-border payments anytime, anywhere in more than 100 currencies.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: United Kingdom-Greater London-London
Job: Compliance
Internal Jobcode: 70399
Organization: TS BD & RM-HR07024
Requisition Number: 1800406