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- Tasks: Support compliance efforts in Securities Trading and monitor transactions effectively.
- Company: Join a leading financial services firm with a strong commitment to compliance.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Dynamic role with opportunities for growth and learning.
- Why this job: Make a real impact in the financial industry while developing your skills.
- Qualifications: Knowledge of financial services and strong analytical skills required.
The predicted salary is between 60000 - 80000 £ per year.
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.
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.
Senior Specialist, Compliance & Control employer: BNY Mellon
Contact Detail:
BNY Mellon Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Specialist, Compliance & Control
✨Tip Number 1
Network like a pro! Reach out to folks in the financial services industry, especially those who know a thing or two about compliance. A friendly chat can open doors and give you insights that job descriptions just can't.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of U.S. securities markets and compliance concepts. We want you to feel confident discussing these topics, so practice articulating your thoughts clearly and concisely.
✨Tip Number 3
Show off your analytical skills! During interviews, be ready to share examples of how you've tackled complex problems in the past. We love hearing about your thought process and how you pay attention to detail.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always looking for passionate candidates who are eager to make an impact in compliance and control.
We think you need these skills to ace Senior Specialist, Compliance & Control
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the role of Senior Specialist, Compliance & Control. Highlight your experience in compliance and transaction monitoring, and don’t forget to mention your analytical skills and attention to detail!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance in the financial services industry and how your background makes you a perfect fit for our team.
Showcase Relevant Experience: When filling out your application, be sure to include specific examples from your past roles that demonstrate your knowledge of U.S. securities markets and compliance concepts. We love seeing real-world applications of your skills!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and get to know you better. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at BNY Mellon
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of the financial services industry and U.S. securities markets. Be ready to discuss compliance concepts and how they relate to transaction monitoring, as this will show that you understand the core responsibilities of the role.
✨Show Off Your Analytical Skills
Prepare to demonstrate your strong analytical skills during the interview. You might be asked to solve a hypothetical problem or analyse a scenario related to transaction alerts. Practising with real-world examples can help you articulate your thought process clearly.
✨Excel at Excel
Since technical skills, particularly in Excel, are crucial for this role, make sure you’re comfortable discussing your experience with it. Be ready to share specific examples of how you've used Excel in previous roles, whether it's for data analysis or reporting.
✨Be a Team Player
Highlight your interpersonal skills and collaborative mindset. Prepare examples of how you've worked with others in past roles, especially in compliance or audit settings. This will show that you can effectively work with business compliance officers and contribute positively to the team.