Free Associate (Representative I), Transaction Monitoring [Pershing]

Supports the day-to-day efforts related to assessing whether assigned areas are following relevant laws, rules, regulations and policies and that control mechanisms are being deployed as expected. Under moderate supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues. May begin to suggest changes to improve work processes.

Primary Responsibilities

With limited guidance, researches and collects data on compliance and control-related activities. Compiles data into a useable format for management review.
Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy. Prepares reports for management on compliance status and reviews reports with more junior roles to confirm accuracy and completeness.
CounselsÂ’ business personnel on remaining in compliance or improving their alignment with established controls and compliance goals. Identifies compliance issues and escalates to more senior staff.
With limited guidance, provides technical support for professional staff's assessment of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting the assigned areas. Produces standard quantities of data to support risk-based reviews of existing and emerging regulatory requirements. Escalates issues to more senior support staff.
No direct reports.
Contributes to the achievement of team objectives.
Responsible for the quality and completion of own work.
Gathers information from independent research, online tools or directly from the relationship manager or client in order to populate risk profiles for new or existing clients.
Performs due diligence to ensure accuracy of information.
Contributes to the achievement of team goals.
Uses developed communication skills to engage in conversations with internal stakeholders and moderately complex clients to support an accurate data-gathering process and to resolve any open issues.
Desired Qualifications

BachelorÂ’s degree or 3-4 years of total work experience preferred.2-3 years of total work experience preferred.
Experience with Financial Services Industry regulations, compliance operations or auditing preferred. 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
Works well autonomously and collaboratively.
Proficiency in Excel.
Ability to work with large data sources and Investigative skills.
At BNY Mellon, our inclusive culture speaks for itself. HereÂ’s a few of our awards:

Fortune WorldÂ’s Most Admired Companies & Top 20 for Diversity and Inclusion
BloombergÂ’s Gender Equality Index (GEI)
Best Places to Work for Disability Inclusion, Disability: IN – 100% score
100 Best Workplaces for Innovators, Fast Company
Human Rights Campaign Foundation, 100% score Corporate Equality Index
CDP’s Climate Change ‘A List’
Reference : Associate (Representative I), Transaction Monitoring [Pershing] jobs

Contact seller Share

Comments