Vice President, Compliance & Control II

At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere.

We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what #LifeAtBNY is all about.

We’re seeking a future team member for the role of Vice President – Trade Surveillance (Model Management) to join our Compliance team. This role is located in Manchester – Hybrid.

The Vice President – Trade Surveillance (Model Management) has key responsibility in helping the firm manage its regulatory risk through the implementation and/or oversight of trade surveillance across the various businesses and countries in which BNY conducts business. the right candidate will have familiarity with surveillance requirements as outlined by the U.S. Securities and Exchange Commission, FINRA, the Financial Conduct Authority and APAC regulators. Experience with trade surveillance vendors and previous experience implementing a global trade surveillance system is preferred.

In this role, you’ll make an impact in the following ways:

• Execute the firms approach to Trade Surveillance harnessing the latest available technology solutions
• Review transaction alert parameters to detect and identify potential market abusive activities or behaviour;
• Review and evidence alert parameter review and model performance testing clearly and factually;
• Identify and lead thematic surveillance programmes, coordinating globally where required.
• Work with Business Compliance and 1LOD business control where relevant partner functions to ensure the proper reporting of surveillance issues internally and to regulators on a timely basis:
• Escalate findings in a controlled and organised fashion:
• Approach surveillance activities on a holistic basis, considering the flow of orders and quotes from other lines of business and reviewing activities per trader/sales person; and
• Track and record issues and concerns as they arise and assist in the production of appropriate Management Information.

To be successful in this role, we’re seeking the following:

• Preferred experience: minimum of 7-10 years industry experience out of which at least 3-4 years should be working in Trade Surveillance, ideally with a Trading background.
• Strong knowledge of the financial services regulatory environment is essential.
• Excellent spoken and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
• Advanced MS Office skills.
• Strong data science and data analytical skills with capability of identifying, collating and distilling relevant information and presenting to senior stakeholders.
• Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high level of accuracy.
• Good interpersonal and communication, and negotiation skills.
• Ability to work effectively in a fast-paced environment, with the ability to prioritize and balance competing, time sensitive demands.
• Bachelor’s Degree required.

At BNY, our culture speaks for itself. Here’s a few of our awards:

• America’s Most Innovative Companies, Fortune, 2024
• World’s Most Admired Companies, Fortune 2024
• Human Rights Campaign Foundation, Corporate Equality Index, 100% score, 2023-2024
• Best Places to Work for Disability Inclusion, Disability: IN – 100% score, 2023-2024
• “Most Just Companies”, Just Capital and CNBC, 2024
• Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024
• Bloomberg’s Gender Equality Index (GEI), 2023

Our 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.