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About the Role

This senior specialist role is within the Client Asset Safety Compliance Centre of Excellence, providing 2nd line Compliance oversight, advisory support, and challenge across BNY businesses, platforms, and legal entities that hold client assets and/or client money. The role supports strategic change and drives a consistent, sustainable approach to client asset safety oversight globally.

Responsibilities

Serve as a senior subject matter expert providing independent 2nd line Compliance oversight, challenge, and advisory support.
Interpret complex client asset safety regulatory requirements and translate them into practical, risk-based guidance.
Partner with 1st line teams, Global Asset Safety, Business Compliance Officers, Risk, Legal, and other control partners.
Provide proactive Compliance input on business-as-usual activity, regulatory developments, new business initiatives, transformation programmes, and material change.
Assess existing and emerging regulation, supervisory communications, industry developments, and consultation papers.
Contribute to the design and enhancement of governance standards, oversight frameworks, policies, guidance, and management information.
Review and challenge the adequacy of controls relating to client asset safety.
Support the identification, assessment, and management of compliance risk.
Provide 2nd line Compliance leadership and challenge in issue, breach, and violation management.
Contribute to oversight of regulatory reporting processes linked to client asset safety.
Prepare and review governance materials, escalation papers, thematic analysis, and trend reporting for senior management.
Support the business and control functions on external audit activity, regulatory reviews, and internal reviews.
Work with Compliance Testing and other assurance functions to guide review focus and support issue interpretation.
Represent Compliance in internal and external forums, including industry working groups and regulatory or market practice discussions.
Act as a trusted advisor on strategic initiatives affecting client asset safety.
Provide guidance and subject matter support to colleagues and junior team members.
Contribute to the achievement of wider team objectives and adapt responsibilities to reflect local regulatory requirements and business needs.

Requirements

Experience in Compliance, Regulatory Advisory, Legal Entity Compliance, Operational Risk, Audit, or a related control function within financial services.
Deep subject matter expertise in client asset safety, client money, custody asset protection, segregation, books and records, reconciliations, and related regulatory control frameworks.
Strong knowledge of relevant client asset protection requirements, ideally including in-depth experience with UK CASS (CASS 7 ideally) and familiarity with comparable global regimes.
Demonstrated ability to interpret complex regulation and apply it effectively in a large, global, and matrixed financial institution.
Experience supporting regulatory change, governance enhancement, control improvement, issue management, remediation, and business transformation initiatives.
Strong analytical, risk assessment, and problem-solving skills.
Proven ability to build credibility and influence with stakeholders across business, operations, and control functions.
Excellent written and verbal communication skills.
Strong organizational skills and the ability to manage multiple priorities.
Experience supporting regulatory interactions, external audits, and/or thematic reviews preferred.
Bachelor’s degree or equivalent combination of education and experience is required.

Skills

Client asset safety
Client money
Custody asset protection
Segregation
Books and records
Reconciliations
Regulatory control frameworks
UK CASS
Global regulatory regimes
Regulatory change management
Governance enhancement
Control improvement
Issue management
Remediation
Business transformation
Analytical skills
Risk assessment
Problem-solving
Stakeholder influence
Written communication
Verbal communication
Organizational skills
Priority management

Location

London, UK

Work Type

Full-time

Experience Level

Senior specialist
Subject matter expert

Education Level

Bachelor’s degree or equivalent combination of education and experience
Business, Finance, Law or related degree preferred

Benefits

Highly competitive compensation
Benefits and wellbeing programs
Access to flexible global resources and tools
Generous paid leaves
Paid volunteer time

About the Company

BNY is a leading global financial services company at the heart of the global financial system, influencing nearly 20% of the world’s investible assets.
The company's culture enables better company operation and employee growth and success.
Teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions.
BNY is recognized as a top destination for innovators where bold ideas meet advanced technology and exceptional talent.
The company powers the future of finance.

Equal Opportunity

BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.