Quality Control Supervisor (Risk & Compliance)
Pittsburgh, PA, United States • Oriskany, NY, United States

ID: 19969

Job Description
Manages a global team of compliance professionals reporting into the Global Head of Securities Trading Conduct. The Manager will oversee a team that has two primary responsibilities: (1) overseeing the supervisory and control functions within the Personal Securities Trading Team and (2) the control environment within the PTA system, which is used to monitor employee’s personal securities trading.

Overseeing the supervisory and control environment involves the following: (1) ensuring the Personal Securities Trading Team’s work is completed in a timely manner; (2) policies and procedures are accurate and updated; (3) producing management information (MI); (4) managing the relationships with the subsidiaries/entities within BNY Mellon who rely on this global team; and (5) ensuring sufficient controls exist for new products and/or processes undertaken by the Personal Securities Trading Team. BNY Mellon utilizes FIS’s Personal Trading Assistant (PTA) to monitor its employees’ personal securities trading accounts globally. The Quality Control Supervisor is responsible for ensuring that the rules and controls in PTA are working effectively and in compliance with laws, rules and regulations.

Candidate will work closely not only with the team of professionals they are managing, but the Supervisor of Surveillance and Employee Assistance, who is responsible for ensuring the day-to-day operations of the Personal Securities Trading team are working effectively.

Applicant must have excellent interpersonal, presentation and writing skills.

Contributes to efforts to develop a strong compliance culture and increase organizational awareness of compliance roles and responsibilities within the assigned region/ jurisdiction. Recruits, directs, motivates and develops professional staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team and/or lead. Reviews reporting produced by the team and appropriately escalates significant issues to senior management.

Bachelor’s degree or the equivalent combination of education and experience is required. MBA or professional certification is a plus. 10-12 years of total work experience, with 1-3 years of management experience, preferred. Operations, Technology, Financial Services, Audit or Compliance background and/or experience with financial services is a plus. Experience and knowledge of the laws, regulations and rules regarding the monitoring of personal securities trading/personal account dealing is also a plus.

This job is based-at-home. However, the candidate may be asked to go into the office a few times a month or as needed.

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals with Disabilities/Protected Veterans. Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.


BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans.

Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
Reference : Quality Control Supervisor (Risk & Compliance) jobs

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