1+ months

Executive Manager, Compliance

BNY Mellon
New York, NY 10007

This role leads a global team of Complianceprofessionals responsible for developing tools and processes that willtransform the way the firms law library is utilized and significantly increasethe effectiveness of our regulatory change management efforts, Compliance riskassessment program and second line of defense testing. Additionally, the newplatform will provide the businesses and support functions with a centralrepository for the laws, regulations and interpretive guidance that governtheir activities and the means of evidencing their risk-mitigating controls. Thisis a global initiative that touches all areas of BNY Mellons Compliancefunction as well as its lines of business and corporate staff functions. The specific goals are:

  • Integrate technology to reduce reliance on manualcontrols for a number of Compliance activities such as horizon-scanning, maintainingan inventory of laws and regulations, mapping laws and regulations to policiesand controls, operating a risk assessment scoring model and generating dataanalytics and reporting.
  • Focus on regulatory change identification andtracking to increase the business effectiveness in overseeing and adapting tochanges in compliance risk.
  • Increase coordination and accountability amongrisk and control owners across all business lines.
  • Provide traceability and transparency for thebusinesses, corporate staff functions and regulators.
  • Map Audit, regulatory and Compliance testingfindings to controls to identify weaknesses.
  • Drive annual Compliance risk assessment tocalculate residual risk across businesses, legal entities, products andservices, and use results to inform annual planning for global Compliancestrategy, testing, surveillance, training and resources.

This project and its deliverables are highlyvisible to BNY Mellon management and externals regulators such as The Fed. The successful candidate needs to be aconsummate, seasoned professional, experienced in leading enterprise-wideCompliance or Risk initiatives. Theability to make in-roads into the organization and establish productive relationshipswith project participants is crucial.


Bachelor s degree or the equivalent combination of education and experience is required. MBA, JD or professional certification preferred. 15+ years of total work experience, with 5-7 years of management experience, preferred. Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Our ambition is to build the best global team one that is representative and inclusive of the diverse talent, clients and communities we work with and serve and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

Primary Location: United States-New York-New York
Internal Jobcode: 85169
Job: Risk
Organization: Compliance & Ethics-HR06015
Requisition Number: 1918447


Posted: 2020-01-20 Expires: 2020-05-06

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Executive Manager, Compliance

BNY Mellon
New York, NY 10007

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