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BNY Mellon IM EMEA - Risk & Compliance Analyst job in London

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Company Name:  BNY Mellon
Location:  London
Country:  United Kingdom
BNY Mellon Investment Management's goal is to build and manage investment and wealth management strategies and solutions that address the ever changing needs of our clients. Drawing on deep expertise, we collaborate with our clients to understand their needs and tailor our best ideas and resources to meet their specific requirements. As recognised pioneers of the multi-boutique model, BNY Mellon have some of the best investment ideas, from the finest investment minds, all in one place.
BNY Mellon Investment Management has over US$1.7 trillion AUM and is the global investment management arm of BNY Mellon, one of the world's 6 th largest global asset managers and 5 th largest asset manager active in the European marketplace.*
                                                      
*All data as at 30 June 2016, unless otherwise stated. According to Pensions & Investments, November 2015.
  
Job Purpose:
We are currently hiring for a Risk & Compliance Analyst to provide support to the design, development and execution of the operational risk framework and oversight programme in respect of IM-EMEA and the associated fund companies, BNY Mellon Fund Managers Limited ("BNYMFM") in the UK and BNY Mellon Global Management Limited ("BNYMGM") in Ireland, including investment managers appointed by IM EMEA and the associated fund companies and the fund administrators.

It is envisaged that the role will also involve certain generalist compliance duties, in particular support to the execution of the compliance programme in respect of financial crime prevention.

Responsibilities:
  • Provide support to the design, development and execution of the operational risk framework and oversight programme in respect of IM-EMEA, BNYMFM & BNYMGM.
  • Maintain and update the Risk & Control Self-Assessments (RCSA) for each of the entities, working with business owners to ensure "gaps" are identified and closed in a timely manner and processes continually assessed.
  • Perform detailed risk assessments on proposed business process changes and key areas of risk e.g. AML, Fraud, Market Abuse.
  • Provide support to the IM EMEA Capital Planning process and contribution to the IMEH consolidated ICAAP, working with IM EMEA senior management, Finance and group Compliance.
  • Perform diagnostic work on OpRisk Events and work with business stakeholders to develop actions to enhance the control environment.
  • Maintain and update Risk Appetite Statement (RAS) for each of the above entities. Monitor Key Risk Indicators and RAS metrics and prepare reports to governance committees and legal entity boards on exceptions.
  • Maintenance of Compliance & Risk Management Policies and Procedures and review updates of corporate policies, communicating key changes to business stakeholders.
  • To support the execution of the Risk & Compliance programme in respect of financial crime prevention in respect of the IM EMEA business functions.
  • To make an active contribution to the design and development of the Risk & Compliance oversight programme in respect of delegated investment management and administration functions, including in respect of financial crime prevention.
  • To assist the contribution of Risk & Compliance to the corporate governance framework of IM EMEA, including input to preparation of reports and management information for internal governance committees, including the Anti-Financial Crime Committee and the Risk & Compliance Committee.
  • Participate in centralised initiatives across the BNY Mellon Risk & Compliance organisation, to ensure consistency of approach across business lines and appropriate knowledge-exchange.
  • General duties, as required, including co-ordination of  records management policy and process, validation of recorded phone lines and e-mail retention policies.
  • Provide support to the management and execution of business projects and those related to regulatory-change. Demonstrate awareness of current and emerging regulatory and industry developments and the potential impact to IM-EMEA and the fund management companies.
  • Provide training to the business on operational risk matters as required.

                                                                                  
*LI-DB2
EFC:EMEA.AM
 

Qualifications

  • Prior experience working with the financial services industry would be advantageous, particularly within Compliance or another control function (i.e. Risk or Internal Audit).
  • Exposure and understanding of accounting and finance desirable.
  • Familiarity with the UK regulatory system including the FCA's supervisory approach and the Handbook of rules/guidance, particularly prudential rules, also beneficial.
  • Competent in Word, Excel, PowerPoint and other desktop applications.
  • Degree level preferred but not essential 
 
How to apply:                                                                       
If your profile matches the above requirements and you're looking to develop a career within an award winning investment management firm, please submit your CV via our Careers site.

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 & 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.

As one of the world's leading investment management organizations and one of the top U.S. wealth managers, BNY Mellon Investment Management combines agility, insight and scale to create and deliver strategies and solutions to address our clients' needs. Encompassing BNY Mellon's investment management firms, wealth management organization and global distribution teams, we draw on deep expertise to collaborate with clients and tailor our best ideas and resources to meet their specific needs. We pride ourselves on providing dedicated service through our network of global professionals who have a deep understanding of local requirements. With our extensive experience in anticipating and responding to the investment and financial needs of the world's governments, pension plan sponsors, corporations, foundations, endowments, advisors, intermediaries, individuals and families, and family offices, BNY Mellon Investment Management is dedicated to helping clients reach their goals.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: United Kingdom-Greater London-London
Job: Audit/Compliance/Risk
Internal Jobcode: 51584
Organization: BNYM IM EMEA Ltd-HR14104
Requisition Number: 1610762
Industry:  Financial Services
04/07/2017
Job Ref:  1610762-en-us
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