Senior Specialist, Regulatory Oversight Manager
iNautix Technologies
Manchester, , United Kingdom
2d ago

Overview Of BNY Mellon :

BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 35 countries and serving more than 100 markets.

BNY Mellon is a leading provider of financial services for institutions, corporations and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team.

Job Purpose :

The EMEA CSD Office Strategy & Regulatory Oversight (EMEA CSD SRO) team fulfils a critical role in ensuring there is an effective governance framework in place for EMEA CSD activities as they relate to regulatory change and regulatory control, as well as maintaining and providing overall regulatory oversight of this framework.

In addition, the EMEA CSD SRO team oversees and coordinates the articulation of EMEA CSD’s strategy through alignment of the EMEA regional and Global CSD strategies with EMEA CSD.

The role is for a Strategy & Regulatory Oversight Manager to work on strategy and / or regulatory initiatives within the EMEA CSD SRO team.

The role would suit someone who has a keen interest in regulation, has previous exposure to project delivery, and is methodical and articulate, as well as able to produce high quality executive level reporting.

The role will provide responsibility for a combination of the following :

Management of Corporate and Regional items that have impact on EMEA CSD, as they relate to the oversight and adoption of new regulations

Production of the EMEA CSD strategy and communication to senior management as required

Support of the regulatory control framework with particular attention to the Senior Managers and Certification Regime (SMCR) and ensuring that EMEA CSD is in compliance when new regulations or changes to SMCR are introduced

Reporting and coordination to closure of any open EMEA CSD actions arising from 2nd / 3rd lines of defence reporting

Responsibilities :

Manage the EMEA CSD regulatory change model by coordinating with Compliance Regulatory Change and Asset Servicing Tax Services to identify and communicate new or amended regulations, as well as support EMEA CSD groups in their articulation of impacts on their functions

Report in a timely and clear manner the holistic view of regulation on EMEA CSD, including incremental resource requirements

Coordinate EMEA CSD responses for annual planning & budgeting processes

Provide regulatory oversight of in-flight projects on behalf of EMEA CSD, including acting as a single point of contact for EMEA CSD, or as delegates to EMEA CSD project sponsors

Build effective relationships across 2nd and 3rd Lines of Defence to ensure that EMEA CSD is appropriately represented and that the company leverages EMEA CSD SRO appropriately

Advise on the implementation of regulatory policies and procedures for CSD Operations in relation to EMEA rules and regulations, including operating model improvements and best practice

Act as a key point of contact for EMEA CSD related to ongoing SMCR adoption and compliance, management of the impact of organizational change on the regulatory control framework, and continuous training and communication of SMCR to staff

Coordinate quarterly reconfirmation of SMCR artefacts across EMEA CSD certified person population

Participate in appropriate governance meetings at they relate to EMEA CSD strategy, regulatory change and regulatory control

Provide regulatory support as required to SMCR Senior Managers and Certified Persons

Interact closely with global CSD strategy and regional strategy contacts to put together EMEA CSD strategy components

Consolidate, coordinate and review management reporting in order to produce meaningful information for senior managers

Requirements :

Proven experience in financial services, preferably in a regulatory or project delivery capacity

Employment background could Audit, Regulatory functions, Compliance, Risk or Controls

Excellent written and verbal communication skills, with the appropriate attention to detail

Strong organizational, leadership and management skills, including the ability to manage stakeholder expectations and create consensus across organizational and functional lines.

Must have proven experience in identifying risks, issues and making effective decisions, and working productively and openly with senior management

Practical experience of working with Compliance, Risk and Legal to drive through decisions and resolve issues

Ability to analyse, understand and articulate regulatory requirements in the EMEA regulatory horizon

Keen interest in learning new concepts and translating into actions

Good understanding of at least one or more of EMEA CSD’s key businesses / products, e.g. Asset Servicing, Corporate Trust, Global Collateral Services, Transfer Agency or Treasury Services

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