BNY Mellonseeks a Senior Compliance Officer with extensive experience in financialservice technology and Technology Risk experience. This is a newly createdhigh-potential position where the successful candidate will be expected tobuild relationships at a senior level, develop the Technology Complianceframework and engagement model, and be hands-on in providing oversight andchallenge across a variety of Digital initiatives. The successful candidatewill provide global leadership and guidance and serve as team lead for thenewly formed Americas team, working globally with Compliance colleagues andbusiness stakeholders.
TheTechnology Compliance team sits within the Compliance Function in the 2nd lineof defense and reports directly to the Global Head of Enterprise Wide FunctionsCompliance. The team provides guidance and leadership with respect to relevantcompliance requirements and objectives, to enable regulated activity to beconducted in a manner consistent with legal and regulatory requirements and tohighlight any material process or control gaps. Team is responsible foroverseeing and challenging the identification, assessment and mitigation ofrisks by Technology including Operations, Data Management & Resiliency andproviding advice and support in management of these risks.
This individual will govern andsteer stakeholders across Technology in identifying, analyzing, monitoring, andminimizing areas of regulatory risk during the delivery of program and projectsacross the Enterprise. Independently contributes to the compliance efforts indeveloping the strategic direction for Technology.
Overall this individual will beresponsible for overseeing and managing highly complex, specializedadministrative, operational and financial affairs of the Technology Compliancefunction. Directs assessment of regulatory and policy requirements in order todevelop programs and projects to improve multi-regional compliance and presentsprogram and project recommendations to more senior managers and regionalleadership. Advises on and challenges Technology strategy changes to furtherimprove region's ability to remain, or become, compliant with applicable laws,policies and regulations. Maintains strong knowledge of regional differences inrelevant laws, policies and regulations and appropriately requests the adviceof regional experts, as needed. Uses strong influence and experience within TechnologyCompliance to increase the likelihood that strategy changes driven by relevantregulation are appropriately implemented in a timely manner.
Contribute to the establishment of the overallTechnology compliance strategy and is responsible for appropriately directingthe implementation of the global strategy.
Apply extensive knowledge and experience of information,cyber, security and technology risk concepts to skillfully interpret needs anddrive evaluation of compliance risk facing the Technology organization.
Direct complex, detailed analysis of existing andproposed legislation, regulatory announcements and industry practices impactingTechnology, and associated stakeholder communications.
Manage provision of independent regulatory guidance,escalation and credible challenge to Technology; participate in Technologygovernance forums and key advisory and strategic working group meetings; escalationof high risk and/or significant issues to senior management.
Manage compliance oversight of, and participation, intechnology regulatory exam management; partnering with Technology and businessto address remediation of Audit, Compliance and Regulator Exam findings
Direct Compliance support and challenge during incidentsincluding regulatory impact analysis, participation in root cause analysis andlessons learned reviews
Establish and maintain strong working relationships withkey stakeholders across the enterprise including senior Technology, Risk andCompliance partners and relevant regulators
Responsible for the production of regular riskassessment documents and compliance dashboards representing health of Technologycontrol framework; preparation of complex, time sensitive reporting; present togovernance committees, as appropriate
Oversee development of strategic plans for independentmonitoring of technology processes to ensure compliance with minimum regulatoryand company requirements
Participate in significant business process changeinitiatives including new technology products and services and changes toexisting products and services to identify opportunities to manage technologycompliance risk effectively and efficiently
Direct a team of professional staff across multiplelocations; oversee the delivery of expert guidance in the development andimplementation of applicable policies and procedures and delivery of employeetraining, as appropriate
Teamlead and provides guidance to more junior team members and assigns tasks
Directsthe achievement of team objectives. Responsible for the achievement of goalsand objectives across multiple regions. Ensures regions are equipped tooperationalize and attain regional objectives.
Bachelor'sdegree in computer science or a related discipline, or equivalent workexperience required; advanced degree preferred
12+ years of related experience required; Experience inTechnology, Information Security and/or technology risk in a financial servicescompany preferred. Knowledge of security systems and applications preferred.
CharteredAccountant or Attorney or Relevant Certification or industry accreditatione.g., Certified Information Systems Security Professional (CISSP), CertifiedInformation Security Management (CISM), Certified Information Systems Auditor(CISA) or Certified in Risk and Information Systems Control (CRISC), a plus