Manages a specialized team responsible for regulatory oversight management efforts as they relate to standard regulatory and policy requirements and program and project development. Manages the performance of assigned staff. Sets departmental priorities and allocates resources to align with business objectives and annual plan.
Leads team in conducting detailed analysis of existing/proposed regulation, and industry practices within specialty areas of expertise that may have significant impact on business processes. Develops requirements and implements processes to perform surveillance and oversight tasks related to trading and clearing activities.
Directs and sets processes and priorities for validating specialized control processes to ensure compliance with governing laws and rules and risks are managed.
Partners with business unit managers to responds to reports issued by regulatory agencies or audit. Leads department in working and exchanging information with regulators, government officials, and senior leadership to resolve potential regulatory issues.
Identifies and solves the most complex, operational and organizational problems leveraging the appropriate resources within or outside regulatory oversight management. Researches, develops and establishes methodologies, protocols and processes to facilitate or improve regulatory oversight management efforts. Partners with Risk, Compliance and Legal teams in these efforts.
Determines the key business drivers and factors that maximize team performance. Coaches and guides assigned staff on improving the execution of regulatory oversight management efforts and achievement of goals. Coordinates all teams to ensure work is achieved in a timely, efficient manner.
Recruits, directs, motivates and develops staff, maximizing their individual contributions, their professional growth and their ability to function effectively with their colleagues as a team. Provides feedback at the most critical times.
Qualifications
Bachelors degree or the equivalent combination of education and experience is required. 7-10 years of total work experience and 1-3 years of management experience in financial services preferred.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans. Our ambition is to build the best global team - one that is representative and inclusive of the diverse talent, clients and communities we work with and serve - and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
Primary Location: United States-Florida-Lake Mary Internal Jobcode: 70396 Job: Trading Organization: Pershing Domestic-HR06431 Requisition Number: 2103214
