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Sr. Analyst (Broker-Dealer Compliance)

Company: THE BANK OF NEW YORK MELLON CORPORATION
Location: New York
Posted on: April 10, 2021

Job Description:

Responsible for the overseeing and providing compliance support to the assigned business units within a broker-dealer compliance program. Provide guidance and support to business partners, senior management, and compliance team in the development of infrastructure and control requirements. Ensure that appropriate regulatory policies, procedures and controls are established, maintained, and well documented. Take ownership of all ongoing compliance review processes and requirements related to assigned areas of coverage. Coverage areas may include customer complaints, registration fillings (U4, U5, BD, etc.), policies and procedures, gifts and entertainment, communications, social media, training review, and testing/branch inspections. Candidate will be involved with the review of the current compliance program framework and operations and will be expected to seek enhancements.--Knowledge of the broker-dealer business from a product, corporate governance, compliance, risk, and administrative perspective. General knowledge of FINRA and SEC rules and regulations, as well as state regulatory framework. Knowledge of securities products (i.e. mutual funds, ETFs, private funds and individual securities), compliance, and supervisory requirements. Qualifications QualificationsMinimum Requirements

  • Minimum of 1-2 years of experience as a compliance professional at a FINRA-registered broker-dealer is preferred, or regulator (diversity of experience strongly preferred)
  • Experience with rules and regulations applicable to broker-dealers
  • Understanding of SEC and FINRA non-cash compensation and registration rules
  • Comfort with ambiguity-capable of solving complex problems independently in a fast-paced environment and adapting along the way
  • Demonstrated success as a values-based leader who can build and maintain a culture of empowerment, ownership, and accountability
  • Ability to initiate and drive projects to completion with minimal guidance
  • Series 7, 24 or 14Preferred Qualifications
    • FINRA marketing material review experience
    • Experience with banking regulations, specifically Bank Collective Funds
    • Exposure to conducting internal reviews and in preparing written summaries and regulatory responses.
    • Exposure to key functional areas of product due diligence, ability to interpret rules/laws and collaborate with the Legal team to analyze changes to regulatory requirements, proactively handle regulatory developments.
      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: 85349
      Job: Risk
      Organization: Compliance-HR06015
      Requisition Number: 2104243

Keywords: THE BANK OF NEW YORK MELLON CORPORATION, New York , Sr. Analyst (Broker-Dealer Compliance), Sales , New York, New York

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