BNY

Vice President, Markets – Fixed Income Surveillance and Controls

BNY

full-time

Posted on:

Origin:  • 🇺🇸 United States • New York

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Salary

💰 $68,000 - $147,000 per year

Job Level

Lead

About the role

  • Assist with the management of Compliance and Regulatory risks
  • Respond to and prepare responses to regulatory requests
  • Work with internal audit, compliance testing and other internal stakeholders
  • Promote a strong regulatory mindset across the Markets business
  • Provide guidance and interpretation of regulatory requirements
  • Provide oversight and supervision of non-financial risks to counter conduct and operational risks
  • Ensure control framework meets regulatory and senior management expectations
  • Build control structures to support business managers and oversee change management projects
  • Perform deep dives to identify areas needing additional controls and enhanced processes
  • Assist in unification of MI and systems to drive best practice across the Controls Team
  • Create documentation to support governance structures and supervision expectations
  • Ensure documentation and systems infrastructure remain appropriate
  • Chair supervisory meetings and assist with annual testing programs
  • Assist with development and delivery of annual training programs as required

Requirements

  • Relevant experience in a similar Risk and Control, Compliance, Audit or Regulatory role
  • Experience gained from a Regulatory organization would be beneficial
  • Thorough knowledge of financial markets, particularly fixed income and equity products
  • Strong working knowledge of applicable regulatory principles and rules (market abuse, best execution, information barriers) advantageous
  • Experience operating surveillance systems and investigating potentially abusive behavior
  • Investigative skills and an analytical mindset
  • Oral and written communication skills in English and ability to understand compliance policies and follow procedures
  • Bachelor’s degree or master’s degree preferred