Senior Associate, Compliance & Control

Overview

We’re seeking a future team member for the role of Senior Associate – Compliance & Control to join our Securities Trading Conduct Team. This role is located in Manchester. Supports day‑to‑day Securities Trading Conduct compliance efforts, with a focus on transaction monitoring.

• Review and investigate employees' transaction monitoring alerts in a timely manner, ensuring adherence to the Policy
• Provide guidance to employees on the Personal Securities Trading Policy
• Ensure adequate records are maintained when closing alerts
• Review any escalated items and if required, elevate items
• Ensure employees transfer reportable accounts to an approved broker
• Work with the business compliance officers as required during escalation process
• Attend meetings and workshops as required in relation to the Personal Securities Trading Policy
• Assist with ad‑hoc projects as required

• Knowledge of the financial services industry, U.S. securities markets, investment instruments, and compliance concepts
• Strong analytical skills, problem‑solving ability and attention to detail
• Experience in Financial Services, Audit or Compliance background
• Technical skills, particularly proficiency in Excel
• Excellent interpersonal skills and a collaborative mindset

BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay‑for‑performance philosophy. We provide access to flexible global resources and tools for your life's journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.