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1 - 25 Results of 265
BNY Mellon
Liverpool, United Kingdom
21 hours ago



BNY Mellon is an investments company. We provide investment management, investment services and wealth management that help institutions and individuals succeed in markets all over the world. In the region of Europe, the Middle East, and Africa, which we have been serving since the 1900s, we deliver services to a broad range of clients seeking access to global capital markets.

The Financial Crime Team is responsible for:
  • Second line Financial Crime Compliance and oversight for Pershing EMEA (including UK, Ireland, and Jersey);
  • Providing advice and guidance to the Pershing business and business partners as necessary;
  • Monitoring transactional behaviour;
  • Investigating and reporting (both internally and externally) suspicious activity;
  • Overseeing the AML Risk Assessments to identify current and emerging inherent risks;
  • Improvements to existing control environment to mitigate current and emerging inherent risks, to within Pershing agreed risk appetite;
  • Review of regulatory changes as they relate to all aspects of Financial Crime;
  • Production of regular Board and Senior Management reports advising on status of Financial Crime matters;
  • Provision of specific Financial Crime related training to all staff, at induction and on an ad-hoc basis, as required;
  • Production of regular and detailed Management Information linked to daily surveillance and sanction alerts, mailbox items received and other financial crime focused issues to Senior Management;
  • Ensuring compliance with International Sanctions requirements, and;
  • Develop and maintain close working relationships with internal and external stakeholders on Financial Crime related matters.

  • Client Focus: Putting the client at the centre of all that we do.
  • Integrity: Acting with the highest ethical standards for our company, our employees and our clients.
  • Teamwork: Fostering collaboration and diversity to empower employees to build relationships and deliver insights.
  • Excellence: Setting the standard for leading-edge solutions, innovation and continuous improvement.

Core Competencies
  • Enhancing Organizational Talent.
  • Embracing Change.
  • Client Orientation.
  • Developing Partnerships.
  • Driving for Results.
  • Decision Making.
  • Global Awareness.

This role will support the MLRO in delivering continuing enhancements to the Pershing EMEA Financial Crime framework. This includes:
  • Providing general Financial Crimes compliance advice to colleagues, the business and senior managers, responding to queries and interpreting the application of regulatory requirements;
  • Assisting the MLRO in supervising the work of junior Financial Crime Team colleagues and supporting their development;
  • Enhancements to firm-wide policies, procedures, systems, and controls to help the MLRO to fulfil their statutory obligations;
  • Deputise for Pershing MLRO as required, including committee, management and project work;
  • Represent Pershing EMEA in relevant working groups with Regulatory Change on new rules, regulatory or legislative changes as they impact the Pershing EMEA business;
  • Provide support to business Compliance, KYC, and operational staff on implementation questions in relation to global and regional strategic initiatives (generally taking a train the trainer approach);
  • Lead development and enhancements to processes, working closely with US colleagues on system updates;
  • Owning/overseeing issues ( Testing, Audit, regulatory) and ensuring improvements are delivered on time and to the required standard;
  • Maintain AML regulatory returns and ensure these are accurately produced and input within the required timescales;
  • Develop and enhance financial crime KRI /KPI /MI Dashboard information;
  • Ad-hoc project work as directed and in relation to financial crime issues.

As Deputy Money Laundering Officer/ Financial Crime Manager
  • Support the Pershing MLRO in discharging their functions;
  • Deputise for MLRO whenever required both internally and externally;
  • Assist in managing the daily FCT operation;
  • Act as the key point of escalation for any issues requiring guidance; and
  • Liaise with other areas of the business on Financial Crime Compliance matters.
  • Represent and update on the FCT at weekly Compliance Leadership and Department meetings;

SAR Reporting requirements
  • Ensure that all incidents are correctly investigated, and actions are evidenced;
  • Develop and document the procedure for internal and external reporting;
  • Ensure the correct FCT members are trained in reporting external SARs to the NCA and external SARs are submitted correctly to the NCA SAR online system and confirmation notifications are saved.
  • Liaise with MLRO, Head of Compliance and Legal as appropriate on each incidents;
  • Ensure that internal SARs are submitted correctly through the incident reporting system and in line with Group Policy; and
  • Ensure that external SARs are submitted correctly to the NCA SAR online system and confirmation notifications are saved.

Law Enforcement and Regulatory requests
  • Respond to any requests for information from law enforcement or regulators;
  • Liaise with MLRO, Head of Compliance and Legal, as appropriate.

BAC Process
  • Review all new BAC slide proposals and represent the FCT at any related meetings;
  • Ensure the financial crime slide is completed and highlights any risks to the business;

FCT Management Information
  • Develop the FCT monthly MI pack to ensure all potential risks are highlighted to Senior Management, as appropriate;
  • Act as the preparer for the annual FCA Rep-CRIM process for PL and PSL;
  • Review and submit the annual FCA Rep-CRIM return for PL and PSL;

AML Risk Assessment
  • Oversight for the AML Risk Assessment process for PSL; and
  • Assist in any follow up requests to ensure that AML Risk Assessment is submitted by the deadline.

AML Training
  • Develop and continually enhance the financial crime compliance training for the FCT team; and
  • Develop, enhance and deliver the FCT section in Compliance training package.

Role Specific Competencies
  • Investigative and questioning in nature;
  • Excellent inter-personal skills;
  • Strong leadership skills
  • Enhanced and structured decision-making abilities;
  • Superior judgement in business situations;
  • Expert Risk Manager and Mitigator;
  • Excellent organisational skills;
  • Ability to manage and prioritise workload; and
  • Ability to communicate orally and in writing with all levels of staff and management.

Role Specific Technical Skills/Attributes, Industry Knowledge and Systems Knowledge
  • Strong analytical skills;
  • Problem solving ability;
  • Attention to detail;
  • Excellent IT skills (in particular Microsoft Office);
  • Awareness and understanding of current financial crime related rules and regulations in EMEA;
  • Subject Matter Expert ("SME") in relation to Financial Crime Compliance risks and controls.

  • Between 5- and 10-years' experience in a financial crime compliance role and demonstrable subject matter expertise;
  • General background in Financial Crime /Compliance /Legal;
  • Thorough knowledge of laws, regulations, and expectations of UK Regulators;
  • Working knowledge of global financial crime standards and knowledge/experience of a wide range of financial crime laws and regulations;
  • Ability to work under time pressure in calm, professional manner in an environment of change;
  • Good analytical skills, problem-solving ability, and attention to detail;
  • Excellent communication and interpersonal skills;
  • Good planning skills; and
  • Knowledge of the lifecycle of a securities trade from execution to custody would be advantageous.

Employer Description:

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark:

Job Information

  • Job ID: 64110939
  • Location:
    Liverpool, United Kingdom
  • Position Title: Deputy MLRO
  • Company Name For Job: BNY Mellon
  • Job Function: Other

Please refer to the company's website or job descriptions to learn more about them.

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