BNY Mellon is looking for a Compliance Officer II to join their team in Liverpool.
Manages compliance efforts for the Company as they relate to moderately complex regulatory and policy requirements. Thorough knowledge of Financial Services rules and regulations. Strong 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 Regulators.
MyCareer Path Primary Responsibilities
• Analyze existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedures to meet these requirements.
• Validate control processes to ensure compliance with laws, rules and regulations
• Assists business unit managers in response to reports issued by regulatory agencies or audit
- Relevant experience working in financial services (preferably compliance monitoring)
- Good knowledge of the rules & regulations of FCA and LSE and ability to analyse legislation relating to other jurisdictions where Pershing Europe operate
- General awareness of company law and the Financial Services & Markets Act and
- Good awareness of ISA regulations
- Ability to analyse existing & proposed legislation to determine impact on the firm and recommend appropriate response
- Strong communication skills
- Strong administrative skills
- Strong organizational skill & attention to detail
- Excellent project management, interpersonal and analytical skills
- Detail-oriented with the ability to work under pressure and within tight deadlines
- Ability to work independently and in a team environment
- Strong work ethic