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Vice President, Compliance

4 months ago

Pune, India BNY Mellon Full time

Vice President, Compliance & Control Manager I

Bring your ideas. Make history. 
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the “bank of banks” - 97% of the world’s top banks work with us as we lead and serve our customers into the new era of digital. 

With 240 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we’re approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about. 

We’re seeking a future team member for the role of Vice President, Compliance & Control Manager I to join our team. This role is located in Pune, Maharashtra - HYBRID.

In this role, you’ll make an impact in the following ways: 

  • Manages a regional/jurisdictional team of support staff responsible for supporting the assessment of regulatory and policy requirements in order to develop programs and projects to improve regional/jurisdictional compliance. 
  • Leads the support team's assessment of data and development of reporting to support management's presentation of program and project recommendations to more senior managers. 
  • May recommend strategy changes to further improve the region's/jurisdiction's ability to remain in compliance with or become compliant with applicable laws, policies and regulations. 
  • Responsible for appropriately implementing the overall compliance strategy within the assigned region/jurisdiction. 
  • Guides the team's analysis of existing and proposed legislation, regulatory announcements and industry practices within the region/jurisdiction in order to identify opportunities for alignment with the global compliance strategy. 
  • Helps more senior managers within the region/ jurisdiction to appropriately implement approved procedures to meet requirements. 
  • Contributes to the assessment and validation of control processes to ensure compliance with laws, rules and regulations. 
  • Contributes to efforts to develop a strong compliance culture and increase organizational awareness of compliance roles and responsibilities within the assigned region/ jurisdiction. 
  • Continues to build relationships with business unit managers to increase the likelihood of timely completion of compliance activities and responses to reports issued by regulatory agencies or audit. 
  • Build relationships with regulators and government officials and appropriately escalates issues raised by these contacts to more senior managers. 
  • Recruits, directs, motivates and develops support staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team. 
  • Provides feedback at the most critical times.Manages a regional/jurisdictional team of support staff responsible for providing technical support for professional and management staff's assessment of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting regional/jurisdictional BNY Mellon businesses. 
  • Manages the team's support of comprehensive, risk based reviews of existing and emerging regulatory requirements. Reviews reporting produced by the team and appropriately escalates issues to more senior managers.
  • Responsible for the achievement of support team goals. Manages the financial resources of the team (budgets, expenses, etc.).Modified based upon local regulations/requirements. 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.

To be successful in this role, we’re seeking the following: 

  • FINRA Series 7 and 24 required
  • Bachelor‘s degree or the equivalent combination of education and experience is required. MBA or professional certification preferred. 5-7 years of total work experience, with 0-1 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.

Fortune World’s Most Admired Companies & Top 20 for Diversity and Inclusion, 2023  

  • Bloomberg’s Gender Equality Index (GEI), 2023
  • Human Rights Campaign Foundation, Corporate Equality Index, 2023
  • Best Places to Work for Disability Inclusion, Disability: IN – 100% score, 2023
  • Dow Jones Sustainability Indices, Top performing company for Sustainability, 2023
  • Forbes Blockchain 50, 2023

Our Benefits: 

BNY Mellon offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves that can support you and your family through moments that matter. 

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

 


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.