Specialist, Regulatory Oversight Management

BNY Mellon
Manchester, United Kingdom
09 Dec 2022
14 Dec 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Work in a small team, as part of the Global Asset Safety-Governance and Control Office, the candidate will be instrumental in ensuring compliance with the FCA CASS rules by The Bank of New York Mellon London branch (BNYMLB) and The Bank of New York Mellon (International) Ltd (BNYMIL). As a member of the Global Asset Safety-Governance and Control Breaches and RP team, you will provide general technical support related to the oversight of the firms' operational compliance with CASS. Primary responsibilities will include maintenance of the CASS Resolution Packs (CASS RP), administration of CASS related breaches and support of the monthly CASS Management Information production process.

Responsibilities :
  • Maintain oversight of the CASS Resolution Packs (CASS RP) including Certification, Testing, QA and Change Management.
  • Work closely with teams across all business lines to ensure the CASS RP is kept to a high standard and enhanced as required in response to business model, operational or regulatory changes.
  • Support identification, administration and resolution of all CASS RP breaches and Control gaps.
  • Maintain accurate and up to date procedures and process flows.
  • Produce monthly CASS Management Information for the CASS Operational Oversight Committee and CASS Governance Body.
  • Establish strong working relationships across all teams including our business partners.
  • Engage with other regional and functional regulatory and management reporting teams.
  • Cross train on other functions supported within the CASS Oversight and Administration Team. Including, but limited to: CASS Breach Oversight, CASS MI production, Control mapping and other support activities.
Qualifications & Training:
  • Business Graduate with several years of related work experience.
  • Previous role related to resolution plan support, CASS Compliance or Management Information.
  • Ideally some knowledge of the regulatory environment and FCA regulations.
  • Ideally, a working knowledge of global custody.
  • Ideally, working knowledge of the BNY Mellon custody environment and operating models.
Job Skills & Knowledge:
  • Technical ability and an understanding of the regulatory reporting environment.
  • Strong team player, with the ability to work independently at times, and across diverse regional and functional teams.
  • Excellent oral and written communication and interpersonal skills.
  • Strong organisational skills with attention to detail.
  • Ability to be able to process high volumes accurately and on a timely basis.
  • Strong PC skills including utilisation of advanced excel functions as well as data analysis skills.
  • General understanding of the CASS regulatory framework.
  • Problem solving acumen and a proactive approach to identify and mitigate risks.
Role Reporting Hierarchy:
Reports to Global Asset Safety-Governance and Control Breaches and RP Manager.

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.

Employer Description:

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 and 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: bnymellon.com/careers.
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