Senior Specialist, Compliance & Control

This role supports Pershing’s financial crime framework across its UK, Irish and Channel Islands entities, combining advisory support, monitoring and control oversight. The analyst will respond to financial crime queries from internal stakeholders and external clients, including questions on restricted activity and the application of Pershing’s financial crime controls. The analyst will undertake a range of manual monitoring activities designed to identify transactions or activity that may indicate breaches of internal controls or heightened financial crime risk. The role also supports periodic KYC oversight activity, including the review of documentation obtained by clients to confirm that it meets Pershing’s standards and can be relied upon. In addition to core monitoring and query handling, the role contributes to management information, escalation support and ongoing control enhancement. The analyst will be expected to apply sound judgement and recommend an appropriate course of action for escalation where necessary. The role offers strong development opportunities for an individual looking to build broader financial crime advisory capability and progress over time toward a more senior FCC or MLRO-aligned career path.

Responsibilities

• Act as a key point of contact for internal and external queries relating to Pershing’s financial crime controls.
• Provide timely, clear and well-reasoned guidance on the application of financial crime controls and the permissibility of activity under Pershing’s framework.
• Engage with clients to obtain information and documentation required to assess alerts, investigate concerns and support issue resolution.
• Communicate with clients in a professional and controlled manner, including in challenging circumstances, demonstrating resilience, sound judgement and the confidence to deliver firm messages where required.
• Produce and collate daily and monthly management information to support the oversight and reporting of financial crime risks and controls.
• Support monthly reviews of client KYC controls and documentation to assess whether Pershing standards and applicable regulatory expectations are met.
• Contribute to process improvement and control enhancement activity, including development projects designed to strengthen team processes and support the role holder’s progression.
• Assist with additional financial crime activities and projects as directed by the MLRO.
• Perform daily manual monitoring activities across a range of control reports, identifying transactions or patterns of activity that may indicate control breaches or financial crime risk.
• Undertake an initial risk assessment of issues identified, prepare clear supporting rationale, and escalate concerns to the MLRO/DMLRO as appropriate.
• Ensure all reviews, decisions and follow-up actions are recorded accurately and maintained to an appropriate standard.
• Raise Incident Reports where required, ensuring matters of concern are captured and escalated promptly and appropriately.
• Help identify opportunities to strengthen monitoring processes, system usage and team controls through continuous improvement activity.

Core Competencies

• Strong analytical and problem-solving skills, with the ability to review information critically, identify potential risks and reach sound conclusions.
• Investigative and questioning mindset, with the confidence to challenge, probe for further information and escalate issues where appropriate.
• Strong attention to detail and a disciplined approach to documentation, record-keeping and follow-up.
• Sound judgement and the ability to conduct an initial risk assessment and recommend an appropriate course of action.
• Excellent interpersonal and stakeholder management skills, with the ability to communicate effectively with internal business areas and external clients.
• Strong verbal and written communication skills, with the ability to communicate clearly, professionally and confidently with stakeholders at different levels of seniority.
• Resilience and professionalism when dealing with challenging interactions, with the ability to remain calm, controlled and appropriately firm under pressure.
• Strong organisational skills, with the ability to manage competing priorities and deliver work accurately and on time.
• Ability to work independently, take ownership of assigned responsibilities and maintain high standards of delivery.
• Proactive approach to continuous improvement, with an interest in strengthening processes, controls and team effectiveness.
• Strong IT skills, including proficiency in Microsoft Office.

Preferred Experience

• Experience in financial crime, compliance, audit, risk, or financial services operations preferred.
• Familiarity with financial crime risks, financial services regulation, compliance operations or control oversight would be advantageous.
• Experience in reviewing alerts, investigating issues, or supporting monitoring and escalation processes would be beneficial.
• Financial crime qualification (ICA, ACAMS, etc.) advantageous.

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.