Global Head of Trade Surveillance

at  BNY Mellon

Overview
Global Head of Trade Surveillance
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 Global Head of Trade Surveillance to join our Risk and Compliance team. This role is located in Pittsburgh, PA or Lake Mary, FL - ONSITE/HYBRID

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: bnymellon.com/careers.

IN THIS ROLE, YOU’LL MAKE AN IMPACT IN THE FOLLOWING WAYS:

Provide advice, training, oversight, and challenge to the first line business control and surveillance function and where relevant partner functions.
Review transaction alerts (QA & escalated) to detect and identify potential market abusive activities or behavior.
Review and evidence alert closures or escalations clearly and factually.
Identify and lead thematic surveillance programs, coordinating globally where required.
Ensure Compliance Advisory, the first line business control and surveillance function and where relevant partner functions are provided with accurate and timely advice of surveillance compliance issues.
Work with Compliance Advisory, the first line business control and surveillance function and where relevant partner functions to assist them to address the impact of regulatory changes to surveillance expectations and development of their surveillance systems

TO BE SUCCESSFUL IN THIS ROLE, WE’RE SEEKING THE FOLLOWING:

Bachelor’s degree or the equivalent combination of education and experience requirement
Markets transaction and communications surveillance gained in first- or second-line control function in an FCA-authorized, SEC, FINRA or equivalent firm
Preparation of communications to regulators including, notifications, Suspicious Transaction and Order Reports, Suspicious Activity Reports, replies to regulators’ requests for information
Providing subject matter expertise in relation to surveillance including, but not limited to, the preparation of policies and procedures to ensure that appropriate arrangements, systems, and controls are in place
Provide leadership and knowledge transfer to other team members in relation to technical matters, specific projects and deliverables and issues
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