Job Description
Overview Of BNY Mellon:
BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment and wealth management and investment services in 35 countries. As of March 31, 2021, BNY Mellon had $41.7 trillion in assets under custody and/or administration, and $2.2 trillion in assets under management. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation (NYSE: BK). Additional information is available on www.bnymellon.com. Follow us on Twitter @BNYMellon or visit our newsroom at www.bnymellon.com/newsroom for the latest company news.
Principal Representative –Rep Office
The Principal Representative maintains oversight on the relationship with regulatory authorities and ensures that all activities of the Rep Office are undertaken in accordance with local license permissions and otherwise ensures local regulatory requirements applicable to the Rep Office and BNY Mellon policy requirements are met. This includes, but is not limited to:
- Advocates for the market into BNY Mellon and vice versa.
- Operates as the ‘go to’ person for the jurisdiction.
- Representative for Representative Office before local regulators.
- Responsible for the general oversight and control of the activities required to operate the Representative Office, including:
- Concluding non-commercial contracts which are necessary and incidental to the running and maintenance of the Rep Office, such as leases, cleaning and employment contracts;
- Reviewing and authorising invoices for costs incurred by the Rep Office including, but not limited to, utilities, supplies and any third party vendors, subject to BNY Mellon’s corporate policies regarding the engagement of vendors.
- Responsible for ensuring policies and procedures are documented and adhered to, ensuring a robust 1st line of defence controls framework and Risk & Controls Self-Assessment are in place.
- Implements policies, standards and processes in the Rep Office, including Business Continuity Plans and Standard Operating Procedures.
- Manager of all ADGM Rep Office staff.
- Site leader for Abu Dhabi, deputy site leader for DIFC Branch.
Chief Admin Officer and 1st Line of Defence Control for Rep Offices and for DIFC Branch
- Operational and administrative oversight and responsibility for the Representative Office portfolio and the DIFC Branch, ensuring administrative policies and procedures are documented and adhered to in each location.
- Responsible for the governance and controls framework by designing and implementing the 1st Line of Defence Controls Testing programme for all Rep Offices and the DIFC Branch. Ensures risks and gaps are identified and documented within the relevant Risk and Controls Self-Assessment or High Level Assessment, as appropriate.
- Responsible for delivering the operating model for Rep Offices, including standardising and enhancing Standard Operations Procedures manuals, maintenance of the Rep Office Job Family Matrix, establishing standardised performance goals for all roles across all locations, tracking noncompliance items to completion, and the overseeing the governance and controls framework across all Rep Office locations.
- Responsible for the annual review and update to Global Rep Office Policy, in addition to the Local Legal Guidance, P.E. Tax Guidance and the International Guidance Matrix for each Rep Office, which are key documents that support the global Rep Office Policy.
- Operationalising Legal, Risk and Compliance SME advice into the running of Rep Offices.
- Provides guidance to the governance and controls team, enabling a consistent approach across all regions. Matrix manager of Office Managers in EMEA Rep Offices.
- Conducts testing of sensitive or confidential information, such as job descriptions, performance goals and email surveillance.
- Addresses key issues arising from 1st, 2nd and 3rd line testing and reviews with management, establishing action plans and raising broader issues at relevant Management Committee meetings. Member of the Dubai Management Committee and co-chair of International Rep Office Council.
- Responsible for the data repository and metrics for all Rep Office governance and control.
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