We're seeking a future team member for the role of Vice President, Compliance Officer to join the Pershing and Markets Compliance team. This role is located in Manchester, UK.
In this role, you'll make an impact in the following ways:
Lead regulatory change oversight for Pershing Securities Ltd and the Markets business, monitoring new UK, EU, Irish and Jersey regulatory developments and assessing business impact.
Maintain the regulatory publications log, coordinating impact assessments, tracking outcomes, and ensuring regulatory analysis is documented and accessible.
Partner with Regulatory Change, Legal, Compliance and business stakeholders to implement regulatory developments and ensure timely delivery of associated actions.
Manage horizon scanning and regulatory change governance frameworks, including control documentation, reporting and standard operating procedures.
Prepare compliance risk management information and updates for senior management, governance committees and regulatory forums.
Provide compliance advisory support across EMEA, working on regulatory change initiatives, compliance projects and cross-border regulatory matters.
To be successful in this role, we're seeking the following:
Compliance experience within financial services, with strong knowledge of FCA regulatory requirements including COBS, SYSC, CASS, MAR, SMCR, MiFID and related frameworks.
Strong understanding of regulatory change management and the impact of evolving UK and European regulation on wealth management, custody, clearing and capital markets businesses.
Experience operating within a global organisation, partnering with stakeholders across multiple jurisdictions and regulatory environments.
Proven ability to influence stakeholders, provide practical compliance guidance and communicate effectively with audiences ranging from business teams to senior governance committees.
Knowledge of compliance risk management frameworks, regulatory projects, horizon scanning activities and compliance monitoring processes.
Degree qualified and/or holding relevant professional qualifications, with familiarity of emerging technologies, including AI, and their application within compliance functions.
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, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance - and this is what is all about. Join us and be part of something extraordinary.
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Vice President, Compliance & Control - Pershing & Markets in London employer: Convergex
At BNY, we pride ourselves on being an exceptional employer that fosters a collaborative and innovative work culture. Our Manchester and London locations offer employees the chance to thrive in a dynamic environment with ample opportunities for professional growth and development, alongside competitive benefits that support work-life balance. Join us to make a meaningful impact in infrastructure engineering while enjoying a supportive community that values your contributions.
