Principal, Regulatory Oversight Management (COO Office)
BNY Mellon
Brussels, Belgium
1 dag geleden

Team Description :

The BNYM SA / NV COO office supports the COO (Chief Operations Officer), as part of the First Line of Defence, in pro-actively and adequately managing all responsibilities assigned to the COO by the Executive Committee of BNYM SA / NV.

The COO office performs a key oversight role around the effectiveness of the BNYM SA / NV Outsourcing, Client Asset Safety, Service Delivery and Internal Control frameworks, systems, operational processes and controls, and around the effective management of regulatory / policy changes, to ensure on-

going compliance with regulations and policies. The COO office is also responsible for dealing with relevant regulators and external auditor in coordination with the CEO and Compliance, including the management of responses, requests for information, examinations etc.

Job Purpose :

As part of the BNYM SA / NV COO Office team (First Line of Defence) : support the Client Asset Safety Officer on a daily basis in overseeing the effectiveness of BNYM SA / NV systems, processes and controls, to ensure compliance with relevant Client Asset Safety Laws, Regulations and internal Policies, across all products and businesses impacting SA / NV and its branches.

Perform the role of Client Asset Oversight Officer for The Bank of New York Mellon Brussels Branch (BNYM Brussels Branch), reporting to the Brussels Branch Manager.

Responsibilities :

As a member of the BNYM SA / NV COO Office (80%) :

  • Support the maintenance and enhancement of the legal entity related framework for Client Asset Safety.
  • Perform regular monitoring and assessment of the Internal Control environment in relation to Client Asset Safety across all products and businesses impacting BNYM SA / NV and its branches
  • Provide regular and ad-hoc reporting and MI to the governing bodies of BNYM SA / NV in respect of Client Asset Protection (including Assets under Custody).
  • Support the review and impact assessment of regulatory and / or business changes in relation to Client Asset Safety
  • Support the oversight of activities outsourced by the BNYM SA / NV to the Client Asset Safety Team.
  • Work in close collaboration with the 3 Lines of Defence.
  • Manage the investigation and reporting required to meet external auditor expectations.
  • Contribute to the effective governance of BNYM SA / NV (including its Branches).
  • Support the management and maintenance of the BNYM SA / NV custody models, and the production of Assets under Custody (AuC) reporting, whenever required.
  • Manage sub-projects driven by Client Asset Safety requirements or other COO Office requirements, or act as Subject Matter Expert (SME) on such sub-projects.
  • As a member of the BNYM Brussels Branch (20%) :

  • Perform the role of Client Asset Oversight Officer (CAOO) for the BNYM Brussels Branch
  • Support the maintenance and enhancement of the legal entity related framework for Client Asset Safety.
  • Perform regular monitoring and assessment of the Internal Control environment related to client asset safety across all products and businesses impacting BNYM Brussels Branch.
  • Provide regular and ad-hoc reporting to the governing bodies of BNYM BB in respect of Client Asset Safety matters.
  • Support the review and impact assessment of regulatory and / or business changes in relation to Client Asset Safety
  • In conjunction with Compliance, manage communications with the regulators in respect of Client Asset Protection
  • Work in close collaboration with the 3 Lines of Defence.
  • Manage the investigation and reporting required to meet external auditor expectations.
  • Contribute to the effective governance of BNYM Brussels Branch
  • Corporate responsibilities :

  • Comply with all corporate policies and procedures.
  • Alert management immediately of any significant changes to business risks and internal controls effectiveness.
  • Promptly follow-up on any regulatory breach and significant business issues.
  • Comply with health and safety policies and procedures operating within the business.
  • Core Competencies :
  • Adaptability
  • Adaptability
  • Communication Skills
  • Interpersonal Skills
  • Managing Risk
  • Job Specific Competencies :

  • Analytical Thinking : The ability to understand a situation by breaking it apart into smaller pieces, or tracing the implications of a situation in a systematic step-by-step manner.
  • Problem Solving : The ability to build a logical approach to resolve problems or manage the situation at hand by drawing on own knowledge and experience and calling on other references and resources as necessary.
  • Project Management : Hands on project management of regulatory deliverables. The incumbent will be required to take full ownership and accountability of these deliverables, which will involve analysis, requirement capture, deliverable planning, stakeholder management and risk / issue management.
  • Work Quality : The ability to demonstrate attention to detail to achieve quality results.
  • Planning and Organisation : The ability to establish a systematic course of action for self or others to ensure consistent accomplishment of specific objectives.
  • Motivation : The ability to create an environment that promotes a sense of achievement, caring and satisfaction; a concern for working against high standards of excellence.
  • Knowledge, soft and technical skills :

  • Good knowledge of the local regulatory environment, and ongoing regulatory initiatives which impact BNYM SA / NV and the business lines
  • Good understanding of the European regulatory framework
  • Solid understanding of the financial services industry
  • Good understanding of BNYM SA / NV organisation
  • Knowledge of BNY Mellon systems would be advantageous
  • Good PC skills (Microsoft Excel and Word essential, PowerPoint useful)
  • Good report writing and presentation skills
  • Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high level of accuracy
  • Effective interpersonal and communication skills
  • Experience in working relationships with Managers and Senior Managers within BNY Mellon
  • English fluency
  • BNY Mellon is an Equal Employment Opportunity Employer.

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