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Helps with assessment activities to ensure the business units are in compliance with standard regulatory and policy requirements. Helps the business units respond to and develop compliance reporting, as directed. Contributes to drafting of documentation when control changes are made. Under direct guidance, analyzes existing legislation, regulatory announcements and industry practices in order to report on the assigned business' current state of compliance. Contributes to projects and program tasks intended to improve compliance and enhance the control environment. Analyzes control processes to ensure they are in compliance with all applicable laws, rules and regulations. Reviews the appropriateness of control processes. Begins to build working relationships with outside regulators, government officials and business unit managers in order to facilitate the timely delivery of information and increase the likelihood of favorable conditions for compliance activities. With direct guidance, contributes to assessments of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting BNY Mellon businesses. Begins to gain experience preparing risk based reviews of existing and emerging regulatory requirements, concerning issues and control gaps. Contributes to the preparation of reporting, as directed. Escalates issues to more experienced professionals. No direct reports. Contributes to the achievement of team objectives. Modified based upon local regulations/requirements. Bachelors degree or the equivalent combination of education and experience is required. Business or Finance degree preferred. 35 years of total work 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, as well as AML risk assessment experience and/or Financial Crimes data management preferred.", "t_create": 1600199187, "id": 1973311, "ats_job_id": "2009873", "name": "Lead Analyst, Compliance & Control (Risk & Compliance - AML Risk Assessments - Data Management)", "display_job_id": "2009873", "business_unit": "Unknown", "medallionProgram": null, "hot": 0, "location": "New York, United States, United States", "stars": 0, "department": "Risk", "type": "ATS"}, {"locations": ["Pennsylvania, United States, United States"], "t_update": 1607055820, "job_description": "With minimal guidance, contributes to the Financial Crimes Compliance efforts of the assigned business units, with a focus on Project Management for global AML risk assessment process. Helps to bring the business units into compliance with standard regulatory and policy requirements. Helps the business units respond to and develop compliance reporting, as directed. Based on assessments of controls, works with business units to implement improvements and develop documentation when control changes are made. As directed, analyzes existing legislation, regulatory announcements and industry practices in order to ensure the assigned business is in compliance with current requirements. Contributes to projects and program tasks intended to improve compliance and enhance the control environment. Analyzes control processes to ensure they are in compliance with all applicable laws, rules and regulations. Reviews the appropriateness of control processes and may help guide the assigned business units in implementing improvements. Continues to build working relationships with outside regulators, government officials and business unit managers in order to facilitate the timely delivery of information and increase the likelihood of favorable conditions for compliance activities. With minimal guidance, contributes to assessments of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting BNY Mellon businesses. Continues to gain experience preparing risk based reviews of existing and emerging regulatory requirements, concerning issues and control gaps. Contributes to the preparation of time sensitive reporting and appropriately escalates issues to more experienced professionals. No direct reports. Contributes to the achievement of team objectives. Modified based upon local regulations/requirements. Bachelors degree or the equivalent combination of education and experience is required. Business or Finance degree preferred. 57 years of total work 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, as well as Project Management and AML Risk Assessment experience preferred.", "t_create": 1600198832, "id": 1973308, "ats_job_id": "2009871", "name": "Specialist, Compliance & Control (Risk & Compliance - Project Management for AML Risk Assessment)", "display_job_id": "2009871", "business_unit": "Unknown", "medallionProgram": null, "hot": 0, "location": "Pennsylvania, United States, United States", "stars": 0, "department": "Risk", "type": "ATS"}, {"locations": ["Pennsylvania, United States, United States"], "t_update": 1607055822, "job_description": "With minimal guidance, contributes to the compliance efforts of the assigned business units. Helps to bring the business units into compliance with standard regulatory and policy requirements. Helps the business units respond to and develop compliance reporting, as directed. Based on assessments of controls, works with business units to implement improvements and develop documentation when control changes are made. As directed, analyzes existing legislation, regulatory announcements and industry practices in order to ensure the assigned business is in compliance with current requirements. Contributes to projects and program tasks intended to improve compliance and enhance the control environment. Analyzes control processes to ensure they are in compliance with all applicable laws, rules and regulations. Reviews the appropriateness of control processes and may help guide the assigned business units in implementing improvements. Continues to build working relationships with outside regulators, government officials and business unit managers in order to facilitate the timely delivery of information and increase the likelihood of favorable conditions for compliance activities. With minimal guidance, contributes to assessments of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting BNY Mellon businesses. Continues to gain experience preparing risk based reviews of existing and emerging regulatory requirements, concerning issues and control gaps. Contributes to the preparation of time sensitive reporting and appropriately escalates issues to more experienced professionals. No direct reports. Contributes to the achievement of team objectives. Modified based upon local regulations/requirements. Bachelor s degree or the equivalent combination of education and experience is required. Business or Finance degree preferred. 57 years of total work 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.", "t_create": 1600198546, "id": 1973304, "ats_job_id": "2009869", "name": "Specialist, Compliance & Control (Risk & Compliance - AML/Sanctions)", "display_job_id": "2009869", "business_unit": "Unknown", "medallionProgram": null, "hot": 0, "location": "Pennsylvania, United States, United States", "stars": 0, "department": "Risk", "type": "ATS"}, {"locations": ["New York, United States, United States"], "t_update": 1610481012, "job_description": "BNY Mellon is seeking a VP to join the Chief of Staff for Risk & Compliance. The team reports into the Chief Risk Officer (CRO) of the company, and works closely with the leadership team to lead the organization's strategic priorities. These include driving high priority projects on behalf of the CRO, functioning as a liaison between the CRO and internal and external stakeholders, and setting the strategic vision for Risk & Compliance in alignment with the broader BNY Mellon strategy. The role will be a balance between supporting the CRO's internal & external communications, as well as analytics and optimization to help improve the organization's capabilities. The team provides exceptional developmental opportunities for high potential candidates who have a consulting mindset and can execute effectively. Responsibilities Plan, facilitate and prepare materials for internal and external meetings and communications for the CRO, including periodic business reviews, communications with regulators, and other stakeholders Collaborate with senior leaders and their teams to drive highvalue analyses and presentations Analyze and identify opportunities for innovation across the organization, including the effectiveness of internal processes to ensure bestinclass analytics Contribute to or lead other highpriority Risk & Compliance activities as determined by the Chief of Staff and the CRO Take on a leadership role across multiple disciplines by serving as the central point of coordination and control in a project to ensure crossbusiness collaboration. Support the research, collection and assessment of data/information to develop hypotheses that support basic business initiatives/issues. Use analyses to develop recommendations/solutions that can be implemented and measured. May support the implementation of recommended actions. Oversee deliverables related to postmeeting action items to ensure all followup items are addressed appropriately. Qualifications Bachelor's degree in business or a related discipline, or equivalent work experience required 7 10 years of related experience preferred; experience in the securities or financial services industry preferred, preferably with broad experience across control functions Exceptional attention to detail, highly organized and efficient Selfstarter and highly motivated, with entrepreneurial mindset Ability to manage aggressive and competing priorities to achieve successful execution Ability to synthesize complex information to derive and communicate actionable insights Superb writing skills, with ability to clearly and concisely articulate concepts and create wellstructured messages Ability to work as a team player and be handson to deliver effectively and efficiently Comfortable working in amorphous environments and defining implementation actions Excellent judgement and utmost integrity and objectivity, with demonstrated commitment to upholding high standards Excellent interpersonal and communication skills, with the ability to interact effectively with both senior leaders and across all levels of the organization Proven experience in building and maintaining strong relationships with stakeholders, consensus building, negotiating, and executing enterprisewide risk programs Track record of leading and working with teams to implement crossfunctional initiatives Proficiency in Microsoft Word, PowerPoint and Excel", "t_create": 1610047140, "id": 3111806, "ats_job_id": "2100386", "name": "Risk & Compliance, Junior Chief of Staff", "display_job_id": "2100386", "business_unit": "Unknown", "medallionProgram": null, "hot": 0, "location": "New York, United States, United States", "stars": 0, "department": "Risk", "type": "ATS"}, {"locations": ["Greater Manchester, United Kingdom, United Kingdom"], "t_update": 1610445036, "job_description": "Job Purpose: (Outline the remit of the role and how the role fits within the respective team/department) To support the EMEA Head of Financial Crimes Compliance to ensure that Suspicious Activity Reporting (SAR), investigation and escalation meet all applicable regulatory obligations and company policy requirements. On behalf of the EMEA Head of Financial Crimes Compliance act as Nominated Officer in respect of her UK obligations regarding regulatory disclosures to the National Crime Agency. The EMEA Senior Investigator will lead initiatives from a regional perspective to support objectives, projects and operational requirements. Responsibilities: (Outline responsibilities, accountabilities, deliverables and desired output of the role, as well as key relationships, e.g. clients, internal liaison points, external organisations etc.) Principal Responsibilities: Framework: Responsible for the continued development of the SAR programme to ensure compliance with regulatory and policy requirements. Ensure that the policy framework and regional/jurisdictional polices and procedures are consistent with key legal and regulatory requirements and are regularly reviewed and updated; Take the lead on analysis of new recommendations, initiatives, industry, regional and global standards/expectations and amended legislation. Working with regional, global and local colleagues, take the lead on gap analyses, as required, to consider the impact on the region and individual jurisdictions / legal entities; Oversee, and, where appropriate, undertake the internal investigation of financial crimes raised for the region; Ensure receipt, logging, review and investigation of all suspicious activity reports received and ensure proper engagement with EMEA MLROs on wider investigation of suspicions, particularly those impacting more than one legal entity; Act as Nominated Officer on behalf of the UK MLRO (EMEA Head of Financial Crimes Compliance) and ensure relevant disclosures are made to the UK FIU. Ensure relevant disclosures are made as required by local regional MLROs; File Incident Reports with SAR Control as necessary; Industry Working Groups: Participate in relevant working groups to ensure continued awareness of relevant developments. Take the lead as representative on the Joint Money Laundering Intelligence Taskforce to keep uptodate of emerging risks underpinning the laundering of illicit money flows; Governance and MI, Escalation and Reporting: Attend relevant committees as required. Enhance and develop management information and ensure information is comprehensive, consistent across the region and meets with global reporting standards. Ensure issues and red flags identified are appropriately escalated and reported; Training & Awareness: Increase awareness of obligations and responsibilities and helping to promote a culture of compliance and control by conducting periodic training needs analysis and designing and delivering targeted training / updates in light of that analysis. Work with global colleagues to enhance and update induction and refresher training. Conduct periodic red flag training as appropriate. Oversee computer based training by staff in EMEA; Development of Reporting: In coordination with global Legal and Financial Crime Compliance colleagues, lead and develop SAR systems based reporting mechanisms for the region, ensuring correct flow of information to adhere to regulatory reporting responsibilities and requirements; Develop and maintain strong working relationships with Financial Crime Compliance, Corporate Security and Legal colleagues seeking input through consultation on global or regional initiatives and coordinating feedback mechanisms. Act as main contact with global and regional Legal SAR Team and ensure oversight of processes for reporting and investigating EMEA escalations. Provide advice / direction to 'the business' in order that potential risks are identified, appropriately managed and mitigated in line with company policy; Act as regional representative on global fraud initiatives. 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 management and the Head of EMEA Compliance and/or the Chief Compliance and Ethics Officer immediately on discovery of any material regulatory breach Comply with all Security and Health & Safety policies and procedures operating within the business. Person Specification: Core Competencies: Adaptability Communication Customer Orientation Interpersonal Skills Judgment Managing Risk. Job Specific Competencies / Technical skills / knowledge At least 10 years experience in a financial crime compliance role and demonstrable subject matter expertise General background in Financial Crime / Compliance / Legal Thorough knowledge of laws, regulations and expectations of UK Regulators Working knowledge of global financial crime standards and knowledge/experience of a wide range of financial crime laws and regulations Ability to work under time pressure in calm, professional manner in an environment of change Good analytical skills, problemsolving ability and attention to detail Excellent communication and interpersonal skills Good planning skills Knowledge of wholesale banking products and services would be advantageous, including Custody Academic/Professional Qualifications (or equivalent qualifiers) Legal or Bachelor's degree", "t_create": 1606851333, "id": 2207674, "ats_job_id": "2011648", "name": "Senior Principle, Compliance & Control", "display_job_id": "2011648", "business_unit": "Unknown", "medallionProgram": null, "hot": 0, "location": "Greater Manchester, United Kingdom, United Kingdom", "stars": 0, "department": "Risk", "type": "ATS"}, {"locations": ["Pennsylvania, United States, United States"], "t_update": 1610067204, "job_description": "BNY Mellon seeks a Senior Compliance Officer with extensive experience in financial service Third Party Governance Risk and Compliance. This is a newly created highpotential position where the successful candidate will be expected to build relationships at a senior level, develop the Third Party Governance Compliance framework and engagement model, and be handson in providing oversight and challenge across a variety of initiatives. The successful candidate will provide guidance and serve as team lead for the newly formed Americas Third Party Governance Compliance team, working globally with Compliance colleagues and business stakeholders. BNY Mellon's Risk and Compliance functions are situated in the second line of defense and responsible for providing independent oversight and challenge of the Business and supporting corporate functions in relation to key operational, financial, regulatory or reputational risk. Reporting into the Chief Risk Officer and Chief Compliance and Ethics Officer, the Compliance function is ideally positioned to ensure that BNY Mellon establishes and maintains appropriate policies, procedures and processes to comply with applicable laws and regulations. Compliance also plays a crucial role in assisting the business to understand regulatory requirements, apply best practices and build strong and transparent regulatory relationships. The Third Party Governance Compliance team sits within the Compliance Function in the 2nd line of defense and reports directly to the Global Head of Enterprise Wide Functions Compliance. The team provides guidance and leadership with respect to relevant compliance requirements and objectives, to enable regulated activity to be conducted in a manner consistent with legal and regulatory requirements and to highlight any material process or control gaps. Third Party Governance Compliance is responsible for overseeing and challenging the identification, assessment and mitigation of risks relating to Third Party Governance and providing advice and support in management of these risks. Governs and steers stakeholders across Third Party Governance in identifying, analyzing, monitoring, and minimizing areas of regulatory risk during the delivery of program and projects across the Enterprise. Independently contributes to the compliance efforts in developing the strategic direction for Third Party Governance. Responsible for overseeing and managing highly complex, specialized administrative, operational and financial affairs of the Third Party Governance Compliance function. Directs assessment of regulatory and policy requirements in order to develop programs and projects to improve multiregional compliance and presents program and project recommendations to more senior managers and regional leadership. Advises on and challenges Third Party Governance strategy changes to further improve region's ability to remain, or become, compliant with applicable laws, policies and regulations. Maintains strong knowledge of regional differences in relevant laws, policies and regulations and appropriately requests the advice of regional experts, as needed. Uses strong influence and experience within Third Party Governance Compliance to increase the likelihood that strategy changes driven by relevant regulation are appropriately implemented in a timely manner. Primary Responsibilities: Contribute to the establishment of the overall Third Party Governance Compliance strategy and is responsible for appropriately directing the implementation of the Americas strategy. Apply extensive knowledge and experience of Third party governance risk concepts to skillfully interpret needs and drive evaluation of compliance risk facing the Third Party Governance organization. Direct complex, detailed analysis of existing and proposed legislation, regulatory announcements and industry practices impacting Third Party Governance, and associated stakeholder communications. Manage provision of independent regulatory guidance, escalation and credible challenge to Third Party Governance; participate in Third Party Governance governance forums and key advisory and strategic working group meetings; escalation of high risk and/or significant issues to senior management. Manage compliance oversight of, and participation, in regulatory exam management; partnering with Third Party Governance and business to address remediation of Audit, Compliance and Regulator Exam findings. Direct Compliance support and challenge during incidents including regulatory impact analysis, participation in root cause analysis and lessons learned reviews Establish and maintain strong working relationships with key stakeholders across the enterprise including senior Third Party Governance, Technology, Risk and Compliance partners and relevant regulators Responsible for the production of regular risk assessment documents and compliance dashboards representing health of Third Party Governance control framework; preparation of complex, time sensitive reporting; present to governance committees, as appropriate Participate in significant business process change initiatives including new technology products and services and changes to existing products and services to identify opportunities to manage technology compliance risk effectively and efficiently Direct a team of professional staff across multiple locations; oversee the delivery of expert guidance in the development and implementation of applicable policies and procedures and delivery of employee training, as appropriate Team lead and provides guidance to more junior team members and assigns tasks. Directs the achievement of team objectives. Responsible for the achievement of goals and objectives across multiple regions. Ensures regions are equipped to operationalize and attain regional objectives. Bachelor's degree in computer science or a related discipline, or equivalent work experience required; advanced degree preferred 12+ years of related experience required; Experience in Third Party Governance risk and compliance in a financial services company preferred. Certified Third Party Risk Professional (CTPRP) or ISACA's Certified in Risk and Information Systems Control (CRISC), preferred", "t_create": 1600260001, "id": 1973360, "ats_job_id": "2009904", "name": "Senior Group Manager \u2013 Third Party Governance Compliance", "display_job_id": "2009904", "business_unit": "Unknown", "medallionProgram": null, "hot": 0, "location": "Pennsylvania, United States, United States", "stars": 0, "department": "Risk", "type": "ATS"}, {"locations": ["Singapore, Singapore, Asia-Pacific"], "t_update": 1606615606, "job_description": "The Risk and Compliance division provide risk and compliance services across all BNY Mellon businesses and includes the following teams: Risk Management (market, credit and operational), Compliance, Global Corporate Security, Information Risk Management and Global Business Continuity. Risk Management oversees and delivers ongoing risk services and ensures new business risks are identified, reviewed and approved. reviewing trading, voice and communications alerts closed or escalated by the first line surveillance teams; escalating appropriate alerts internally; reporting suspicious transaction and order reports to regulators; and, providing challenge and guidance to the first line. The team also: conducts quality assurance reviews; assists in the development of surveillance systems, lexicons and scenarios; assists in the development of surveillance policies and procedures; conducts thematic surveillance in relation to issues raised by regulators or our own observations; represents BNY Mellon in external meetings with industry bodies and regulators; liaises with enterprisewide surveillance colleagues in other regions; liaises with colleagues in other compliance teams; represents APAC Surveillance in meetings with internal stakeholders; develops and conducts training; and, assists in responding to requests for transactional information from regulators, trade reconstructions and internal investigations. Provide advice, training, oversight and challenge to the first line business control and surveillance function and where relevant partner functions; Review transaction alerts (QA & escalated) to detect and identify potential market abusive activities or behaviour; Review ecommunication alerts (QA & escalated)) to detect and identify potential market abusive activities or behaviour; Review voice alerts (QA & escalated) to detect and identify potential market abusive activities or behaviour; Review and evidence alert closures or escalations clearly and factually; Identify and lead thematic surveillance programmes, coordinating globally where required. Ensure Compliance Advisory, the first line business control and surveillance function and where relevant partner functions are provided with accurate and timely advice of surveillance compliance issues; Work with Compliance Advisory, the first line business control and surveillance function and where relevant partner functions to assist them to address the impact of regulatory changes to surveillance expectations and development of their surveillance systems; Seek to embed a compliance culture and conduct model throughout the organisation; Work with Compliance Advisory, the first line business control and surveillance function and where relevant partner functions to ensure the proper reporting of surveillance issues internally and to regulators on a timely basis: Escalate findings in a controlled and organised fashion: Approach surveillance activities on a holistic basis, considering the flow of orders and quotes from other lines of business and reviewing activities per trader/sales person; and Track and record issues and concerns as they arise and assist in the production of appropriate Management Information. General Responsibilities: Assist the Global Head to ensure that team members in Pune remain motivated, have clear paths of growth and development identified, minimise attrition and seek to deepen the skills and knowledge base of the team and raise their respective profiles; Coordinate globally to raise surveillance standards and resolve common issues. Work with business lines and business partner functions to assist them in dealing with the impact of regulatory change and to develop and implement policies and procedures to accommodate regulatory change; Work with other Compliance professionals across the broader Compliance team to ensure coordinated and complete delivery of services and effective communication of relevant information and observations. Develop strong and where required integrated working relationships with other regional compliance officers in the U.S. and APAC; Support the business in managing BNY Mellon's relationship with relevant regulators and governmental bodies, including assisting the provision of information and regulatory reports; Participate in business led projects, ensuring timely and robust input and challenge by team members; Governance Responsibilities Contribute to the effective governance of the entities operating within the region. Play an active role in offering constructive challenge and helping to support relevant governance venues. Help to ensure that a strong governance and compliance culture is embedded within the region, that issues are escalated and cascaded appropriately and that key risks are identified, discussed and mitigated; and Build a good understanding of the regional and global governance framework including escalation requirements. Generic Staff Responsibilities Comply with all BNY Mellon corporate policies and procedures, including HR policies and procedures, applicable to BNY Mellon; Alert management including the Global Head of Surveillance, the Local Head of Advisory, and the Chief Risk Officer (as appropriate) immediately of any significant changes to business risks and internal control effectiveness; Notify management including the Global Head of Surveillance, the Local Head of Advisory, and the Chief Risk Officer (as appropriate) immediately on discovery of any material actual or anticipated regulatory breach; and Comply with all Security and Health & Safety policies and procedures operating within the business. The APAC Compliance Team is split into two subteams: Advisory and Surveillance. Advisory provides guidance to the second line of defence on a range of compliance issues, assists the business through understanding regulatory requirements, applies best practices, and builds strong and transparent regulatory relationships. Compliance Surveillance provides the second line of surveillance defence: Covered business lines include: Markets (Foreign Exchange, Capital Markets Fixed Income and Equity, Securities Finance, Liquidity Services) Collateral Management, Corporate Treasury, Pershing, Investment Management, and Asset Servicing. APAC Compliance Surveillance has a key responsibility in helping the firm manage its regulatory risk through the implementation and/or oversight of surveillance across the various countries in which BNY conducts business. As the main hub in APAC for Sales & Trading is Singapore it is critically important that the incumbent pay special attention to the surveillance requirements including, but not limited to those outlined in the \u201cTrade Surveillance Practice Guide\u201d set forth by the Monetary Authority of Singapore \u201cMAS\u201d. Surveillance as a part of the second line defence function will also be expected to: Markets transaction and communications surveillance gained in first or second line control function; Transaction and communications trading and surveillance systems; Understanding of various asset classes relevant to BNY Mellon's business; Knowledge of trade reconstruction; A working knowledge of APAC market abuse and markets financial crime and related surveillance requirements; A Bachelor's degree or the equivalent combination of education and experience; Proven total work experience of compliance within the wholesale financial services industry; Relevant industry compliance qualifications; Preparation of Management Information and internal reports; Assistance to business lines, operational and risk control areas in relation to conduct matters arising in respect of regulatory change programmes including compliance impact and gap analyses; Providing subject matter expertise in relation to surveillance including, but not limited to, the preparation of policies and procedures to ensure that appropriate arrangements, systems and controls are in place; Engagement in policy, advocacy and interpretation efforts through representation and/or membership of industry bodies and peer working groups; Proven ability to engage with and influence management and the business line; Provide leadership and knowledge transfer to other team members in relation to technical matters, specific projects and deliverables and issues;", "t_create": 1597061546, "id": 1972571, "ats_job_id": "2008995", "name": "Principal, Compliance & Control (Compliance Surveillance)", "display_job_id": "2008995", "business_unit": "Unknown", "medallionProgram": null, "hot": 0, "location": "Singapore, Singapore, Asia-Pacific", "stars": 0, "department": "Risk", "type": "ATS"}, {"locations": ["Lothian Region, United Kingdom, United Kingdom"], "t_update": 1607524982, "job_description": "Compliance and Ethics is an independent organization within BNY Mellon reporting to the Chief Risk Officer (CRO), responsible for helping to ensure the company's businesses maintain appropriate processes to comply with all applicable laws, regulations, company policies, and ethical norms. BNY Mellon seeks a Sr. Compliance Manager to cover our Asset Servicing and Digital business line, including global custody, innovation and emerging technologies, partnerships with fin techs, data and analytics solutions, data governance and brokerdealer and investment advisory. This is a newly created highpotential position where the successful candidate will be expected to build relationships at a senior level, develop the compliance and risk framework and engagement model, and be handson in providing oversight and challenge across a variety of custody, data and digital initiatives. The successful candidate will work closely work with the Chief Asset Servicing and Digital Compliance Officer to challenge, shape and drive the growth of an exciting new set of Digital businesses at the Bank More specific responsibilities include: Designing and operationalizing a compliance and regulatory framework and engagement model for emerging digital businesses; Following the initial phase, on an ongoing basis o Provide independent review and challenge of business practices and initiatives such as new product development; o Support the risk assessment of all new products and partnerships, across all risk categories; o Work with senior leaders to develop and report a comprehensive view of the risk profile of the Additional responsibilities include: Increasing awareness of compliance obligations and responsibilities and promoting a culture of compliance and control in the ASD businesses Identifying new and updating regulatory requirements (in coordination with Governance Risk Architecture and Legal) and communicating those requirements to applicable lines of business (LoBs) Creating and reviewing or updating polices that serve as the foundation for the compliance programs associated with key legal and regulatory requirements Communicating and providing advice to stakeholders in the business on the implementation of controls pertaining to compliance risks Assisting in developing and, if applicable, delivering employee training (general guidance and targeted courses) Monitoring business processes periodically, based on risk, to determine whether the controls and processes are operating effectively and achieve compliance requirements Identifying significant compliance and regulatory issues, assist the LoB in designing and implementing policies, procedures, and controls and partner with the LoB to track and implement effective remediation plans in accordance with the Issue Management and Escalation Policy. Challenging the first line High Level Assessment (HLA) and Risk Control SelfAssessment (RCSA) and escalate the highest priority concerns to the seniormost governance committee within ASD regarding regulatory compliance matters Reviewing transactions, new products and business changes processes to identify compliance and regulatory risks Developing annual compliance plans based on results of compliance risk assessment and other inputs; review with business and provide periodic updates; and Presenting compliance reports to senior management and legal entity boards with a comprehensive snapshot of critical elements currently impacting or expecting to impact their business line, where required/relevant. These elements generally include an overall business compliance rating, compliance metrics, compliance testing statistics, significant or proposed new regulations, key regulatory implementations, and significant compliance initiatives Minimum Requirements Minimum of 1012 year experience as a compliance professional covering asset servicing, custody, transfer agency, registered investment advisers and brokerdealers The successful candidate will be a leader who is intellectually curious, selfmotivated, comfortable with ambiguity and willing to challenge the statusquo. If you are excited by the opportunity to shape and deliver a highimpact role at the forefront of custody, data and digital innovation, this may be the right role for you. Comfort with ambiguity\u2014capable of solving complex problems independently in a fastpaced environment and adapting along the way Demonstrated success as a valuesbased leader who can build and maintain a culture of empowerment, ownership, and accountability Ability to initiate and drive projects to completion with minimal guidance 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. Bonus Points Thorough knowledge of the investment advisory and broker dealer business from a product, corporate governance, compliance and administrative perspective. Working knowledge of Investment Advisers Act of 1940, relevant SEC rules and regulations and state regulatory framework. Thorough knowledge of securities products (i.e. mutual funds, ETFs, structured products and individual securities) and compliance and supervisory requirements. Broad exposure to key functional areas of product due diligence, recruiting and retention, Excellent ability to interpret and Partner with the Legal team to analyze changes to regulatory requirements, proactively handle regulatory developments, and advise on new product launches. Continue to develop and mentor our excellent compliance professionals. CCO or the number two compliance professional for SECregistered investment adviser Attorney Experience with US, UK and EU banking regulations", "t_create": 1603726622, "id": 2061667, "ats_job_id": "2010928", "name": "Senior Compliance Principal, Compliance Asset Servicing & Digital", "display_job_id": "2010928", "business_unit": "Unknown", "medallionProgram": null, "hot": 0, "location": "Lothian Region, United Kingdom, United Kingdom", "stars": 0, "department": "Risk", "type": "ATS"}, {"locations": ["Massachusetts, United States, United States"], "t_update": 1606235780, "job_description": "BNY Mellon Data and Analytics Solutions is a public and privatecloudbased software and content offering that builds clientcentric data, technology, and content capabilities. Operating with the skill and agility of a fintech, Data and Analytics Solutions combines the expertise and resources of the Eagle product suite, Intermediary Analytics, and other BNY Mellon technology and data assets. Moreover, the division further extends BNY Mellon's Asset Servicing capabilities in securities and cash into the world's most important asset class, data. Data and Analytics Solutions helps firms to analyze their data from different vantage points and transform it into actions that can achieve higher alpha and cheaper beta, with lower costs and less risk. Offering an ecosystem of proprietary and thirdparty business applications, Data and Analytics Solutions helps firms manage their core investment processes and beyond. The Risk and Privacy Analyst is a member of the Data & Analytics Solutions (\u201cD&A\u201d) Risk & Privacy team. The team is responsible for 1st line risk oversight of the D&A line of business. The team's mission is to enhance the overall governance, risk and compliance (\u201cGRC\u201d) program, ensuring that a risk framework is properly implemented, maintained and communicated, that appropriate controls are adequately designed and deployed, and effectively operated, and that the D&A risk profile is monitored and reported to risk stakeholders. The role holder also supports the local data privacy network and acts as a subject matter expert on privacy in the context of the D&A business. The position requires a solid understanding of the principles of risk management, controls design, implementation, monitoring and testing, with a preferred emphasis on SOC1 and SOC2, and industry standards such as those provided by NIST and the Cloud Security Alliance. The candidate should also possess excellent collaborative and problemsolving skills and an ability to explain risk concepts clearly and concisely to teams and individuals across various business and technology functions. Key Activities/Responsibilities Assist in the ongoing implementation and continuous improvement of a risk assessment program Drive the review and assessment of all relevant enterprise policies, standards, and procedures, identifying those relevant to the line of business and extracting and translating discrete requirements Contribute to the design and delivery of the risk management communications, training and awareness program Support the transition to continuous control monitoring, testing and measurement Manage and maintain documentation library for all riskrelated processes and procedures Maintain regular, manual risk reporting for stakeholders; support the transition to selfservice reporting Assist with internal and external audits, client assessments and responding to RFPs Must have: A solid understanding of Public Cloud fundamentals, certifications are a plus Basic understanding and awareness of Cloud DevOps environments, a.k.a. Continuous Integration (CI)/Continuous Deployment (CD) pipeline Desirable: Experience working in and using Public Cloud environments Competence in the use of Atlassian Confluence and JIRA platforms Previous experience working in control monitoring and testing automation Familiarity with industry standard DevOps tools and techniques Core Capabilities Strong analytical, organizational, and project management skills Strong oral and written communication skills and problemsolving skills Ability to communicate compliance requirements to personnel at all levels of experience and responsibility A resultsoriented selfstarter that has the ability to work in a fast paced, dynamic environment, often with minimal direction Attention to detail and priority/time management", "t_create": 1605905652, "id": 2168993, "ats_job_id": "2011452", "name": "Risk & Privacy Analyst", "display_job_id": "2011452", "business_unit": "Unknown", "medallionProgram": null, "hot": 0, "location": "Massachusetts, United States, United States", "stars": 0, "department": "Information Technology", "type": "ATS"}, {"locations": ["New York, United States, United States"], "t_update": 1611012706, "job_description": "The Risk Assurance team engages in crossfunctional evaluations of key enterprise activities which are governed by the Risk & Compliance function to identify value added opportunities for improvement. The Risk Assurance team's scope is broad; covering all Lines of Business and Corporate Staff functions globally. The primary mandate is to provide ongoing assurance and independent validation of the Firm's Operational Risk Management Framework (ORMF) methodologies, processes and governance, as well as ensure the integrity of the inputs to the measurement systems / models. Risk Assurance conducts reviews / continuous testing of the elements of the ORMF (risk control selfassessments, operational loss events, scenario analysis) and based upon results, report meaningful findings to senior management in both 1st and 2nd line for continuous improvement efforts. Manages a global team of professional staff responsible for the ongoing independent validation of first line operational risk management activities, including the first line's identification, assessment, monitoring, risk exposure remediation and reporting of the business' risk exposure. Provides assurance over the design, operating effectiveness and conceptual soundness of the enterprisewide Corporate Operational Risk Management framework that consists of the Risk Control SelfAssessment (RSCA) approach, Key Risk Indicators (KRI) identification and reporting, Corporate Operational Risk Event notification and reporting, High level Assessments (HLAs), Scenario Analysis and operational risk policies, ensures policies are in compliance with regional regulations. Validates the business' maintenance of effective RSCAs, KRIs, HLAs, Corporate Operational Risk Event notifications and reporting and scenario analyses (SA) consistent with the Corporate Operational Risk Management framework and provides challenge, as needed. Articulate / report on results from review work performed, and write reports that present clear, concise and contextualized messages and findings in need of corrective action to 1st and 2nd Line stakeholders. Act as an ambassador for the Risk Assurance function in a Liaison role capacity through direct and continuous engagement / interaction with relevant 1st and 2nd Line counterparts. The candidate must possess: An advanced level of understanding of the components of an effective Operational Risk Management Framework that helps drive a best inclass program across an organization inclusive of High Level Assessments (HLA), Risk and Control Self Assessment (RCSA), Key Risk Indicators (KRI), Operational Risk Event (ORE), Governance and Reporting, and Scenario Analysis activities that support CCAR. Very Strong analytical skills with the ability to assess and test large/complex sets of data to draw conclusions, as well as the ability to assess and understand a process from endtoend and be able to identify/test the key controls that exist within (or identify gaps if none exist). The individual needs to be able to connect the dots across the tested elements to identify common trends / broad systemic issues. This includes performance Quality Assurance review over test work done. High level focus on detail with superior workpaper documentation skills to ensure that deliverables support the work performed, and have high quality standards that are reviewready for Internal Audit and Regulators. Strong communication skills with the ability to clearly present messages and known deficiencies to internal and external senior management which can be difficult in nature, and then articulate the appropriate actions needed. This requires an individual to be respectfully resolute and be able to hold a position with conviction knowing when to challenge and when to reconsider a point. Recruits, directs, motivates and develops professional staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team. Provides feedback at the most critical times. May assist with the identification and development of talent to ensure appropriate succession planning. Responsible for the achievement of goals across multiple regions. Ensures teams are equipped to operationalize and attain annual objectives. Modified based upon local regulations/requirements. Bachelor's degree or the equivalent combination of education and experience is required. 1015 years of total work experience, with 35 years of management experience, preferred.", "t_create": 1610455461, "id": 3177806, "ats_job_id": "2100576", "name": "Risk Assurance Director, Corp Opl Risk", "display_job_id": "2100576", "business_unit": "Unknown", "medallionProgram": null, "hot": 0, "location": "New York, United States, United States", "stars": 0, "department": "Risk", "type": "ATS"}], "facets": {"seniority": {"Entry": 502, "Senior": 368, "Mid-Level": 146, "Manager": 117, "Vice President": 66, "Director": 44, "Intern": 18, "CXO": 11}, "departments": {"Operations": 271, "Asset Servicing": 173, "Information Technology": 152, "Risk": 124, "Finance/Accounting": 89, "Wealth Management": 71, "Asset Management": 38, "Legal": 26, "Audit": 20, "Corporate Trust": 19, "Digital": 17, "Customer/Client Service": 17, "Internship": 13, "Strategy": 12, "Human Resources": 8, "Global Markets": 8, "Sales/Marketing": 8, "Compliance": 5, "General Mgmt / Admin": 4, "Procurement": 1, "Trading": 1}, "locations": {"Pennsylvania, United States, United States": 127, "New York, United States, United States": 109, "Maharashtra, India, Asia-Pacific": 97, "Greenwich Street, New York, New York": 88, "Massachusetts, United States, United States": 45, "Greater Manchester, United Kingdom, United Kingdom": 39, "BNYM International Ops (India)-IND 01022-MELIN, Chennai, Tamil Nadu": 38, "Tamil Nadu, India, Asia-Pacific": 33, "Dolnoslaskie, Poland, Europe": 33, "01207-MELUK-Sagittarius Business House, Wroclaw, Dolnoslaskie": 29, "Tower S3-IND 01018-MELIN, Pune, Maharashtra": 27, "Tower VI-IND 01017-MELIN, Pune, Maharashtra": 19, "160 Queen Victoria Street-GBR 00001-MELUK, London, Greater London": 17, "One Mellon Center-USA 01249, Pittsburgh, Pennsylvania": 16, "One Mellon Center-USA 00203, Pittsburgh, Pennsylvania": 16, "Wroclaw Swobodna-POL 01186-MELUK, Wroclaw, Dolnoslaskie": 16, "Lockbox (Dallas Tx)-USA, Richardson, Texas": 14, "Florida, United States, United States": 14, "One Pershing Plaza-USA 01090, Jersey City, New Jersey": 13, "BNYM India-IND 01024-MELIN, Pune, Maharashtra": 13, "Greater London, United Kingdom, United Kingdom": 12, "10th Floor Tidel Park-IND 00005-MELIN, Chennai, Tamil Nadu": 12, "New Jersey, United States, United States": 12, "BNY Mellon India-IND 01016-MELIN, Pune, Maharashtra": 11, "Singapore, Singapore, Asia-Pacific": 10, "Tower III-IND 00001-MELIN, Pune, Maharashtra": 10, "Pune, Maharashtra, India": 9, "200 Park Avenue, New York, New York": 9, "11486 Corporate Blvd.-USA, Orlando, Florida": 9, "Tower 6-IND 01212, Pune, Maharashtra": 9, "New York, NY, USA": 8, "Mellon Client Service Center-USA, Pittsburgh, Pennsylvania": 8, "Jersey City, NJ, USA": 8, "Delaware, United States, United States": 7, "1 Piccadilly Gardens-GBR 00069-MELUK, Manchester, Greater Manchester": 7, "Pittsburgh, PA, USA": 7, "300 Colonial Center Parkway-USA, Lake Mary, Florida": 7, "California, United States, United States": 6, "Lockbox (Irwindale)-USA, Irwindale, California": 6, "Texas, United States, United States": 6, "iNautix Tech India Private Ltd-IND 01019-MELIN, Pune, Maharashtra": 6, "Hessen, Germany, Europe": 5, "Dublin, Ireland, Europe": 5, "Luxembourg, Luxembourg, Europe": 5, "Servicios Financeiros-BRA, Rio De Janeiro, Rio do Janeiro": 5, "Lothian Region, United Kingdom, United Kingdom": 5, "Illinois, United States, United States": 5, "Georgia, United States, United States": 5, "Oriskany, NY, USA": 4, "Pune": 4, "One Temasek Avenue-SGP 01190, Singapore, Singapore": 4, "Florham Park, NJ, USA": 4, "BNY Mellon One Canada Square-GBR 00006-MELUK, London, Greater London": 4, "Leinster, Ireland, Europe": 4, "remote": 4, "100 Colonial Center Parkway-USA, Lake Mary, Florida": 4, "Wexford, County Wexford, Ireland": 3, "Mellon New England-USA 00829, Everett, Massachusetts": 3, "Brussels-Capital Region, Belgium, Europe": 3, "Grand Cayman, Cayman Islands, Americas": 3, "Taipei, Taiwan, Asia-Pacific": 3, "1 Piccadilly Gardens-GBR 01187, Manchester, Greater Manchester": 3, "Singapore-SGP, Singapore, Singapore": 3, "Capital House-GBR 00002-MELUK, Edinburgh, Lothian Region": 3, "Pune,India": 2, "London, UK": 2, "Houston, TX, USA": 2, "6023 Airport Road-USA, Oriskany, New York": 2, "3 Hardman Street-GBR, Manchester, Greater Manchester": 2, "One Mellon Center Pvt. 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