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BNY is seeking a Vice President - Internal Quality Assurance to join their Risk & Compliance team to perform validation activities for Corporate BNY Market Abuse Framework uplifts/remediation, ensuring alignment with strategy and enhancing the control environment.

Requirements

• minimum of 5-7 years industry experience out of which at least 3 years should be working in Compliance / Audit or Quality Assurance function (experience in Capital/Global Markets and/or prior surveillance experience would be preferred).
• Good knowledge of the financial services regulatory environment is essential.
• Advanced MS Office skills.
• Good analytical skills with capability of identifying, collating and distilling relevant information and presenting to senior stakeholders.

Responsibilities

• Perform the execution of complex and/or large Compliance Governance & Control validation activity for all Corporate BNY Market Abuse Framework uplifts/remediation activity in alignment with validation requirements articulated in the underpinning procedures.
• Review and verify that the activities of Core Compliance functions align with the overall Market Abuse strategy and are sustainable and repeatable as applicable.
• Review, check, challenge and validation that the documentary evidence standards are aligned to the closure standards in place for uplift and remediation.
• Contribute to the development of projects and programs to improve compliance and enhance the control environment with respect to Market Abuse risk.
• Assist in validating that controls and implementation of new control procedures are clearly documented in response to uplift and remediation actions.
• Stakeholder engagement and liaising with different Platforms Business Units/Core Compliance functions to manage execution and completion of validation activities as and when required.
• Active stakeholder management on any rejected validation activity and progression through secondary validation activity

Other

• Excellent spoken and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
• Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high level of accuracy.
• Good interpersonal communication, and negotiation skills.
• Ability to work effectively in a fast-paced environment, with the ability to prioritize and balance competing, time sensitive demands.
• Represent Core Compliance on validation activity, including execution status, issues identified and standard development.