Senior Compliance & Control Manager _ Pipeline

About the role

The Compliance & Controls Manager role is within the Corporate Trust team at BNY, a leading global financial services company. This role is based in New York City or Pittsburgh, PA.

Responsibilities

• Leads the Loans Enablement Platform team of Controls professionals directly and indirectly.
• Uses in-depth knowledge of information technology, risk and control frameworks, risk and control theory and practice, and controls implementation and assessment to determine potential risks to the organization.
• Manages analysis and draws conclusions to recommend and direct any resulting change needed to mitigate risk.
• Oversees strategy and development of the risk framework and identifies, analyzes, monitors, reports, and minimizes information technology risks.
• Reviews TRC related reports produced by the management team for accuracy and legibility.
• Accountable for the development, strategy and facilitation for assessment, audits, regulatory interaction and preparation for Key Risk Review meetings.
• Responsible for recruiting, directing, motivating and developing staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team.
• Responsible to ensure risk awareness culture by facilitating risk training and awareness activities such as self-identifying control issues.
• Strong written and verbal communication skills.
• Establish, manage and oversee a robust internal control framework; facilitating the implementation and governance of controls to manage platform processes, aligned with compliance regulations, rules, standards, and policies.
• Partner with Compliance to analyze impact of new regulations affecting the Platform and ensure necessary changes are delivered to the Platform’s control environment, product design, reporting processes, Laws, Rules and Regulations mapping and/or contractual structures.
• Drive continuous improvements in control environment through utilizing best in class tools, workflow, and risk analytics in partnership with Practice lead and Controls Hub.
• Ensure integrity, completeness and proper interpretation of reporting and metrics to provide a holistic risk portfolio view for the Platform and drive actions to address variances.

Requirements

• Bachelor’s degree or equivalent combination of education and experience; MBA, JD, or professional certification preferred.
• 10-15+ years of total work experience, with 5–7 years of management experience, preferred.
• Financial Services, Audit, or Compliance background; experience with financial services compliance and/or assigned products, services, or business lines and relevant laws, regulations, and rules preferred.
• Extensive experience advising senior leaders on strategy changes, influencing compliance culture, and maintaining strong relationships with regulators and government officials.
• Proven track record leading and developing global teams of professional staff and more junior managers; accountable for achieving worldwide functional goals and ensuring regions operationalize and attain global objectives.