Senior Specialist, Compliance & Control

hackajob is collaborating with BNY to connect them with exceptional professionals for this role.

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

• Supports day-to-day Securities Trading Conduct compliance efforts, with a focus on transaction monitoring.


• Review and investigate employees’ transaction monitoring alerts in a timely manner, ensuring adherence to the Policy


• Provide guidance to employees on the Personal Securities Trading Policy


• Ensure adequate records are maintained when closing alerts


• Review any escalated items and if required, escalate items 


• Ensure employees transfer reportable accounts to an approved broker


• Work with the business compliance officers as required during escalation process


• Attend meetings and workshops as required in relation to the Personal Securities Trading Policy


• 
  ...