At a Glance
- Tasks: Support compliance efforts in securities trading and monitor transactions.
- Company: Join BNY, a leader in financial services with a culture of excellence.
- Benefits: Competitive pay, flexible resources, generous leave, and wellbeing programs.
- Other info: Diverse workplace committed to equal opportunity and personal growth.
- Why this job: Make a real impact in the financial industry while growing your career.
- Qualifications: Knowledge of finance, strong analytical skills, and experience in compliance.
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 the escalation process.
- Attend meetings and workshops as required in relation to the Personal Securities Trading Policy.
- Assist with ad‑hoc projects as required.
Qualifications:
- 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.
Benefits:
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.
Equal Employment Opportunity:
BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
Senior Specialist, Compliance & Control employer: BNY
At BNY, we pride ourselves on being an exceptional employer, offering a dynamic work culture that prioritises excellence and employee wellbeing. Our Senior Specialist, Compliance & Control role not only provides competitive compensation and comprehensive benefits but also fosters personal and professional growth through access to global resources and a supportive environment. Join us in a workplace that values collaboration, diversity, and the opportunity to make a meaningful impact in the financial services industry.
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 compliance and financial services sectors. Attend industry events or webinars, and don’t be shy about asking for informational interviews. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Show off your skills! Prepare a portfolio or case studies that highlight your analytical skills and problem-solving abilities. When you get the chance to chat with potential employers, share specific examples of how you've tackled compliance challenges in the past.
✨Tip Number 3
Be proactive! If you see a job that fits your skills, apply through our website. Don’t wait for the perfect moment; take the leap and show us why you’re the right fit for the Senior Specialist role. We love seeing enthusiastic candidates!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way. Mention something specific from your conversation to remind them of your fit for the role. It shows you're genuinely interested and keeps you top of mind!
We think you need these skills to ace Senior Specialist, Compliance & Control
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Senior Specialist role. Highlight your experience in compliance and control, especially in transaction monitoring and personal securities trading. We want to see how your skills align with what we’re looking for!
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. Share specific examples of your analytical skills and problem-solving abilities that relate to the job description.
Showcase Your Technical Skills:Don’t forget to mention your technical skills, especially your proficiency in Excel. We love seeing candidates who can leverage technology to enhance compliance efforts. If you have any relevant projects or experiences, be sure to include them!
Apply Through Our Website:We encourage you to apply through our website for the best chance of getting noticed. It’s super easy, and you’ll be able to keep track of your application status. Plus, we love seeing applications come directly from our site!
How to prepare for a job interview at BNY
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance concepts and the U.S. securities markets. Be ready to discuss how your experience aligns with the responsibilities of the role, especially around transaction monitoring and the Personal Securities Trading Policy.
✨Show Off Your Analytical Skills
Prepare to demonstrate your strong analytical skills during the interview. Think of specific examples where you've solved complex problems or handled compliance issues effectively. This will show that you can think critically and pay attention to detail.
✨Excel at Excel
Since technical skills in Excel are a must, be prepared to talk about your proficiency. If possible, bring examples of how you've used Excel in previous roles, whether for data analysis or reporting. This will highlight your technical capabilities.
✨Be a Team Player
Interpersonal skills are key in this role, so be ready to discuss how you've collaborated with others in past positions. Share stories that showcase your ability to work with compliance officers and other teams, as well as how you handle escalated items.
