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For Companies At a Glance
- Tasks: Plan and execute compliance testing assignments to ensure regulatory adherence.
- Company: Join BNY Investments, a leader in global financial services with a culture of innovation.
- Benefits: Competitive pay, flexible resources, generous leave, and wellbeing programs.
- Why this job: Be part of a team that drives transformative solutions in finance and uplifts communities.
- Qualifications: Solid compliance background with knowledge of UK regulatory requirements and strong analytical skills.
- Other info: Dynamic environment with opportunities for personal growth and career advancement.
The predicted salary is between 36000 - 60000 ÂŁ per year.
Overview
Senior Compliance Testing Analyst, BNY Investments
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.
Recognized as a top destination for innovators and champions of inclusion, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.
We’re seeking a future team member for the role of Senior Compliance Testing Analyst to join the BNY Investments team. This role is located in London, UK.
Responsibilities
- Planning testing assignments and executing them in a timely manner in line with the agreed testing plan and BNY Global Testing procedures.
- Conducting the pre-scoping exercise for each Compliance Testing review (including meeting with key stakeholders), ensuring key risks and regulatory requirements of each relevant jurisdiction are considered and incorporated into the scope.
- Documenting and agreeing the scope with the Compliance Testing Manager and CCOs.
- Conducting all field work, evaluating risk and processes and procedures, documenting all testing and sampling.
- Compiling and organising all review documentation and testing output to ensure a clear audit trail.
- Drafting clear and accurate reports and agreeing issues with stakeholders.
- Working through the QA process and liaising with the Compliance Testing Manager, CCOs and the Global Head of Compliance to confirm and document identified issues and actions.
- Chasing of issue / action closures.
- Ongoing input of monitoring work to, and maintenance of the Compliance Testing system (CRAFT).
- Demonstrating clear sense of accountability in performing the role.
- Developing understanding of BNY Investments regulatory high-risk areas, clients and structure through the review work performed and by attending meetings / business updates.
- Representing the Testing team at governance committees and forums as required and/or preparing MI.
- Deputising for Compliance Testing Manager where required on an ad-hoc basis.
Qualifications
- Solid Compliance background, preferably in 2nd line risk based / thematic monitoring or 3LOD Internal audit roles.
- Experience of applying monitoring/testing or audit methodologies within financial organisations, preferably within the investment management industry.
- Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions, ESG. Knowledge and understanding of SEC requirements in these areas is also highly desirable.
- Able to build and maintain relationships with key business stakeholders of all levels.
- Able to synthesise, organise and evaluate large amounts of information, think logically, and identify potential risks.
- Well organised self-starter, able to prioritise quickly and adapt to tight timeframes and meet deadlines.
Related Links
BNY Newsroom
BNY LinkedIn
Awards
- America’s Most Innovative Companies, Fortune, 2025
- World’s Most Admired Companies, Fortune 2025
- “Most Just Companies”, Just Capital and CNBC, 2025
Benefits and Rewards
BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.
BNY is an Equal Employment Opportunity/Affirmative Action Employer – Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
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Senior Compliance Testing Analyst - BNY Investments employer: BNY Mellon
Contact Detail:
BNY Mellon Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Testing Analyst - BNY Investments
✨Tip Number 1
Network like a pro! Reach out to current or former employees at BNY through LinkedIn. A friendly chat can give you insider info and might even lead to a referral, which is always a bonus.
✨Tip Number 2
Prepare for the interview by diving deep into BNY's culture and values. Show us that you understand what #LifeAtBNY is all about and how your skills align with their mission. It’s all about making that connection!
✨Tip Number 3
Practice your answers to common compliance-related questions. We want to see how you think on your feet, so consider doing mock interviews with friends or using online resources to sharpen your responses.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, it shows you’re serious about joining the team at BNY Investments.
We think you need these skills to ace Senior Compliance Testing Analyst - BNY Investments
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Testing Analyst role. Highlight relevant experience in compliance and risk management, and don’t forget to mention any specific methodologies you’ve used that align with BNY's needs.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your skills can contribute to BNY’s mission. Keep it concise but impactful, and make sure to address the key responsibilities mentioned in the job description.
Showcase Your Knowledge: Demonstrate your understanding of UK regulatory requirements and the investment management industry in your application. Mention any relevant certifications or training you've completed that would make you a strong candidate for this role.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you’re considered for the role. Plus, it shows you’re serious about joining the BNY team!
How to prepare for a job interview at BNY Mellon
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of UK regulatory requirements, especially around Market Abuse and Conflicts of Interest. Being able to discuss these topics confidently will show that you're not just familiar with the basics but can also apply them in real-world scenarios.
✨Prepare for Stakeholder Engagement
Since this role involves liaising with key stakeholders, practice how you'll build relationships and communicate effectively. Think of examples from your past experiences where you've successfully navigated stakeholder interactions and be ready to share those stories.
✨Showcase Your Organisational Skills
As a Senior Compliance Testing Analyst, you'll need to manage multiple tasks and deadlines. Prepare to discuss how you prioritise your workload and keep everything organised. Maybe even bring a sample of your planning methods or tools to demonstrate your approach.
✨Demonstrate Your Analytical Thinking
This role requires evaluating large amounts of information and identifying risks. Be ready to tackle some hypothetical scenarios during the interview that test your analytical skills. Practising how to logically break down complex problems will help you shine.
