Director, Compliance & Control, Pershing Securities Ltd

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At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere.

We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what #LifeAtBNY is all about.

We're seeking a future team member for the role of Director, Head of Compliance for PSL. The role holder will assume SMF16 responsibilities for PSL. This role is based at Picadilly Gardens, Manchester and reports to the EMEA Head of Compliance, Pershing who is also Co-Head of Compliance, Markets EMEA.

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

• SMF16 - Compliance Oversight
• Managing the Compliance Advisory team based in Liverpool
• Representing Compliance at PSL Governance Committees
• Representing PSL Compliance on Regulatory Change Projects
• Providing timely and accurate Management Information where relevant
• Developing the compliance presence and culture within Pershing as a whole
• Developing and implementing internal Compliance policies and processes to confirm ongoing compliance with regulatory requirements as required.
• Facilitating the provision of general advice on regulatory and compliance issues arising and the application of the rules to situations and business developments
• Liaison with senior Compliance and Risk leadership across Pershing EMEA Region and International Compliance
• Participation in the development and implementation of both Compliance and business strategy in the UK
• Contributing to the development of projects and programs to improve compliance and enhance the control environment
• Contributing to the development of projects and programs to improve compliance and enhance the control environment.

To be successful in this role, we're seeking the following:

• Preferably degree education and/or industry qualifications with a strong academic/professional work record within legal or Compliance
• Extensive experience within the UK Financial sector with a strong background in custody, wealth management, funds custody or MiFID Investment Firm environment
• Previous SMF16 experience
• Knowledge, experience and understanding of SMCR, Consumer Duty and trading services
• Experience working in a compliance function within a global organisation
• Ability to deliver multi-mode communications that convey a clear understanding of the unique needs of different audiences
• Detailed knowledge of the FCA Conduct of Business Rules, the Senior Executive Accountability Regime (SMCR), MiFID/ MiFIR and MAR rules and regulatory requirements,

At BNY, our culture speaks for itself. Here's a few of our awards:

• America's Most Innovative Companies, Fortune, 2024
• World's Most Admired Companies, Fortune 2024
• Human Rights Campaign Foundation, Corporate Equality Index, 100% score, 2023-2024
• Best Places to Work for Disability Inclusion, Disability: IN - 100% score, 2023-2024
• "Most Just Companies", Just Capital and CNBC, 2024
• Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024
• Bloomberg's Gender Equality Index (GEI), 2023

Our Benefits and Rewards:

BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life's journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.

BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.