SrGrpMgr, Compl&Control (Sr. Principal- Compliance, Regulatory & Policy)

  • New York, NY


: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time


: Legal


This position is a keystrategic risk management role that has broad remit and responsibilities forleading implementation and management of all aspects of regulatorydevelopments, including impact analysis of regulatory changes, mapping rulesand regulations to controls and driving the implementation, maintenance andcommunication of policies and procedures arising out of those rules andregulations. Primary responsibility is to manage the global program withcoordination regionally for EMEA and APAC. Strong focus on maintaining anawareness of major regulatory changes affecting the lines of business andcorporate staff functions and ensuring appropriate communication anddevelopment of relevant policies and procedures (or modifications to existingpolicies and procedures) to ensure that the firm is fully complying withapplicable laws, rules and regulations. The role will need to stay at theforefront of regulatory changes to ensure proactive communication with businessand corporate staff functions and develop appropriate policies to manage thechanges. In addition, ensure that all changes to existing policy documentationand all new policies comply with regulatory requirements and are reviewed andupdated on a periodic basis. This role will report to the Head of EnterpriseCompliance Programs and Monitoring. The position must be capable of generatingideas, establishing direction and leading or coordinating compliance staff.Responsible for ensuring that employees are capable, motivated and working withmaximum effectiveness to contribute to the success of the compliance program.This position will utilize team-building skills, communication, leadership andinterpersonal skills to ensure that team functions cohesively.

Specific Requirements :

Coordinate global effortto enhance and automate BNY Mellon?s processes for managing, mapping andevidencing regulatory change by developing a centralized approach consisting ofcapturing new laws and regulations, amendments, rule proposals, bills, etc. andinform lines of business?

Identify regulatoryenforcement actions, fines/sanctions, industry events and evolving regulatoryfocal points

Interpret laws andregulations and perform a detailed business impact assessment

Partner with businesscompliance officers to map laws and regulations to BNY Mellon?s products andservices within lines of business and corporate staff functions

Risk assess each law andregulation


Bachelor s degree or the equivalent combination of education and experience is required. MBA, JD or professional certification preferred. 12-15 years of total work experience, with 3-5 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.
Associated topics: attorney, company, compliance department, corporate attorney, counsel, court, courtroom, lawyer, legal affairs, legal department

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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