Senior Associate, Compliance & Control
Bny
At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.
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, escalate 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
To be successful in this role, we’re seeking the following:
- 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
At BNY, our culture speaks for itself, check out the latest BNY news at:
Here’s a few of our recent awards:
- America’s Most Innovative Companies, Fortune, 2025
- World’s Most Admired Companies, Fortune 2025
- “Most Just Companies”, Just Capital and CNBC, 2025
Our Benefits and Rewards:
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.
BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
