BNY Mellon Careers

Specialist, Regulatory Oversight Management

London, United Kingdom
Asset Servicing

Job Description

Resides in the business and supports management in the day-to-day efforts related to first line of defence regulatory oversight management with laws, rules, regulations and related policies. Acts as KYC/AML SME on behalf of Asset Servicing including being the interface with AML Compliance and the KYC Due Diligence teams. Provides guidance and support to Relationship Managers in discussion with their clients.  

Performs research and analyses relevant information and transactions that warrant further investigation. Communicates with internal and external parties as needed and makes recommendations on necessary procedural/control changes on more complex matters. Additionally, he/she is responsible for understanding business processes and making recommendations on how to streamline and automate these processes. This position requires knowledge of the Financial Services Industry regulations, compliance, operations or auditing. Requires strong oral and written communication skills, problem solving and the ability to implement regulatory oversight management policies and procedures. Verify practices against policies, with general oversight. Prepare management reports and alert management to any urgent matters or findings. Provide training to entry-level employees. No direct reports: provides guidance to less experienced team members. Contributes to the achievement of team objectives. Supports moderately complex projects and provides insight on interpretation of regulations.


Bachelor’s degree or the equivalent combination of education and experience is required. Advanced/graduate degree preferred. 3-5 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's Asset Servicing business is dedicated to dynamically supporting our clients' investments and safeguarding their assets, keeping them working around the clock and across the world. It's part of our commitment to being a true partner for our clients' investment success. We specialize in operational solutions and capabilities for today's market-enhancing management and administration of investments with services that process, monitor and measure investment data from around the world. By leveraging BNY Mellon's global footprint and deep expertise, we deliver insight-driven solutions for every phase of investing.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: United Kingdom-Greater London-London
Job: Asset Servicing
Internal Jobcode: 70402
Organization: AIS-HR06325
Requisition Number: 1802353