hackajob
Senior Specialist, Compliance & Control
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Hackajob is collaborating with BNY to connect them with exceptional professionals for this role.
About the Role
In this role, you’ll make an impact in the following ways:
- Supports day-to-day Securities Trading Conduct compliance efforts, with a focus on transaction monitoring.
- Review and investigate employees’ transaction monitoring alerts in a timely manner, ensuring adherence to the Policy
- Provide guidance to employees on the Personal Securities Trading Policy
- Ensure adequate records are maintained when closing alerts
- Review any escalated items and if required, escalate items
- Ensure employees transfer reportable accounts to an approved broker
- Work with the business compliance officers as required during escalation process
- Attend meetings and workshops as required in relation to the Personal Securities Trading Policy
- Assist with ad-hoc projects as required
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Requirements
To be successful in this role, we’re seeking the following:
- Knowledge of the financial services industry, U.S. securities markets, investment instruments, and compliance concepts
- Strong analytical skills, problem-solving ability and attention to detail
- Experience in Financial Services, Audit or Compliance background
- Technical skills, particularly proficiency in Excel
- Excellent interpersonal skills and a collaborative mindset
About BNY
At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
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