Senior Group Manager, Compliance & Control
BNY Mellon
Hong Kong, Hong Kong, Hong Kong, Pacific, Asia

Who we are

For over 235 years,Bank of New York Mellon (BNY Mellon) has been at the center of the globalfinancial markets, providing the world’s leading institutions the tools,capabilities, and services to be distinctive investors.

BNY Mellon hasapproximately $16.5 billion in revenues and a 23% return on tangible commonequity.

BNY Mellon is aleader in the world of investment services and investment management, and ourbusinesses support the full range of stakeholders of the financial systemincluding :

Managing the custody ofapproximately $37 trillion financial assets of the world’s leadinginstitutional investors, hedge funds, sovereign wealth funds, and corporates

Investing approximately $2trillion as one of the largest global asset managers across a wide range ofasset classes

Providing collateral,liquidity, and funding for the world’s largest banks through our marketsfranchise

Serving family offices andhigh net worth individuals through our wealth management franchise

Providing a full suite ofsolutions to advisors, broker-dealers, family offices, hedge and '40 Act fundmanagers, registered investment advisor firms and wealth managers

Advising large globalcorporations on a range of trust and other solutions

Providing integratedmanaged data services to asset managers

In addition, BNY Mellon is a strategicpartner to a variety of financial technology companies and a convener ofinfluential industry and market structure forums.

  • Overall responsibility for policies and procedures for countering the risk that the company might be used to further financial crime.
  • Act as MLRO (or equivalent role) for selected entities

    To lead corporate financial crime initiatives within BNY Mellon APAC : to take lead responsibility for identification and analysis of key AML regulatory developments

    To head the APAC Financial Crime team; to financial crime as designated by the firm. To provide leadership and direction for the team Provide oversight and guidance to lines of business in all areas relating.

    Act as MLRO for entities designated, plus equivalent roles as required

    Design, implement and operate an APAC oversight framework

    Provide oversight of sanctions compliance

    Provide oversight of surveillance activities

  • Keep business apprised of changing regulatory requirements and expectations. Advise them on implementation of new requirements;
  • Provide advisory support to business and operational areas

    Provide oversight of monitoring of systems and controls

    Provide oversight of the periodic risk assessment process

    Ensure receipt, review and investigation of internal suspicion reports; provide oversight of external reports made to law enforcement agencies as required

    Escalate issues to the relevant firm's senior management, including the provision of an annual report, and follow up on action required

    Strategically manage both the obtaining and use of national and international findings concerning countries with inadequacies in their approach to money laundering prevention

  • Work with BKU on the development of induction and periodic awareness training in relation to Financial Crime for APAC;
  • Work with Corporate Compliance in the US to develop and enhance corporate initiatives to assist management of the AML compliance programmer throughout the Company

    Work with the Global Anti-Corruption Team in the US to develop and enhance corporate initiatives to assist management of the ABC programmer

    Attend relevant LOB Financial Crime related Committees in capacity of MLRO

    Head the Anti-Tax Evasion Office ("ATEO")


  • Bachelor s degree or the equivalent combination of education and experience is required. MBA, JD or professional certification preferred.
  • 12-15 years of total work experience, with 3-5 years of management experience, preferred.
  • Financial Services, Audit or Compliance background and / or experience with financial services compliance and / or experience with the assigned products, services or business lines / areas and the pertaining laws, regulations and rules of relevant regulators preferred.
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