Principal, Compliance

2 weeks ago

Sydney, New South Wales, Australia The Bank of New York Mellon Corporation Full time

_Bring your ideas. Make history. _
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology.

We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration.

Known as the "bank of banks" - 97% of the world's top banks work with us as we lead and serve our customers into the new era of digital.


With over 238 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn.

Today, we're approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself.

This is what
#LifeAtBNYMellon is all about.

We're seeking a future team member for the role of AML/CTF Advisory lead to join our Compliance team. This role is in Sydney, Australia - Hybrid work model

In this role, you'll make an impact in the following ways:

The role holder will be the AML/CTF advisory lead for Australia which will be the principal focus of the role.

AML/CTF advisory responsibilities will cover all relevant legal entities and other business lines, as required, including cover for AML/CTF advisory team members.


Key responsibilities include:

  • Delivers and executes a full spectrum of HR solutions and services to a specified internal client group.
  • To provide second line of defence advice and challenge in relation to financial crimes legal and regulatory obligations and requirements under BNY Mellon's financial crimes policy framework, with a focus on Customer Due Diligence (CDD) requirements
  • Provide review and challenge for business line and legal entity AML/CTF risk assessments to ensure they are appropriate and completed in compliance with corporate and regulatory requirements to include all relevant AML/CTF risks and controls, and reflect the AML risks associated with the business line / legal entity;
  • Review and challenge other financial crimes related control documentation, including in relation to transaction monitoring data lineage and sanctions surveys;
  • Provide advice to 1LOD in ensuring that financial crimes risks are assessed in relation to changes to systems, customer onboarding, new products, acquisitions and any other relevant projects;
  • Act as a Sector Compliance Officer (SCO) for CDD system generated tasks, including review and challenge of customer profiles;
  • Represent BNY Mellon at relevant external industry forums, as required, to ensure awareness of industry developments and market practice; and
  • Ensuring continuing compliance with the obligations of the AML/CTF Act and AML/CTF Rules in addition to the ongoing oversight by the BNYM DBG's board and senior management through:
  • AML/CTF risk awareness training for staff members;
  • Maintenance of the employee due diligence program
  • Act as the MLRO & Nominated Contact officer with AUSTRAC on matters such as reporting, Suspicious matters; and transactions, urgent reporting, compliance audits, or requests for information or documents.
  • Contributing to the design, implementation and maintenance of internal AML/CTF compliance manuals, policies, procedures and systems, including, if applicable:
  • Procedures for granting approvals for new designated services or delivery channels; and
  • Processes to allow staff to report violations of the AML/CTF program;
  • Updating corporate knowledge on ML/TF risks the BNYM DBG may reasonably face, including any relevant legislative developments and AML publications.
  • Providing leadership and contributing to a culture of AML/CTF compliance in the BNYM DBG.
  • Responsible for the AML/CTF responsibilities under the relevant individual accountability regime.

Generic Staff Responsibilities-

  • Comply with all BNY Mellon corporate policies and procedures, including HR policies and procedures and departmental procedures
  • Alert management immediately of any significant changes to business risks and internal control effectiveness
  • Notify the APAC Head of Financial Crimes Compliance of any matters that require escalation to Compliance senior management, including the Chief Compliance and Ethics Officer, immediately on discovery, such as material regulatory breaches
  • Comply with all Security and Health & Safety policies and procedures operating within the business.

To be successful in this role, we're seeking the following:

  • Financial services financial crimes / compliance / legal experience
  • Knowledge of financial crimes laws, regulations, and the expectations of Australian and APAC regulators
  • General background in Financial Crime / Compliance / Legal
  • Ability to work under time pressure in a calm, professional manner and in a complex environment where there is regular and often overlapping regulatory change
  • Strong analytical skills, problemsolving ability, and attention to detail
  • Excellent communication and interpersona

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