1+ months

Prin, Compl&Control (Compliance Manager, Investment Management)

BNY Mellon
New York, NY

The Investment Management (IM) arm of BNY Mellon is seeking anexperienced Compliance Officer to support and assist the North America RegionalHead of Risk and Compliance with respectto IMs role as parent to a family of affiliate investment advisors and brokerdealers that form IMs global structure as institutional money manager andprivate and public fund sponsor.

The role holder will assist in actively managing compliance staff at theboutique and corporate levels, prepare and disseminate regulatory driven reports,execute with respect to operational requirements and assist the Region Head in implementingIM and Bank strategies and policies.

Responsible for the development of the compliance strategy for theassigned business units. Independently contributes to the compliance efforts ofthe business units and may direct the work of more junior professionals.Responsible for assisting the business units by developing strategies to bringthem into compliance with complex regulatory and policy requirements. Inpartnership with business unit senior managers, responds to and developscompliance reporting and may present reporting to leadership. Based onassessments of controls, advises business units on the implementation ofimprovements and the completion of appropriate documentation when controlchanges are made. Analyzes existing and proposed legislation, regulatoryannouncements and industry practices in order to lead the assigned businessesin developing and implementing procedures to meet existing and upcomingrequirements. Assigns analysis activities to more junior professionals.Contributes to the establishment of key risks indicators (KRIs) and trackingand reporting methodologies as part of a standard system of measurement andreporting. Contributes to the development of projects and programs to improvecompliance and enhance the control environment. Assesses the effectiveness ofcurrent risk prevention and mitigation projects to ensure managers in theassigned business units are equipped with the education to identify and judgethe severity of risks. Analyzes control processes to ensure they are incompliance with all applicable laws, rules and regulations. Validates theappropriateness of control processes or contributes to the development ofimprovements. Guides the assigned business units in implementing improvements.Provides direct input to more junior professionals to improve theirunderstanding of compliance, control and documentation policies. Maintainsstrong working relationships with outside regulators, government officials andsenior business unit managers in order to ensure the timely delivery ofinformation and increase the likelihood of favorable conditions for complianceactivities. Is beginning to lead the development of training and education forthe assigned business unit on risk management and compliance requirements.Collaborates with the business unit to develop the appropriate trainingmaterials. Assesses the effectiveness of complex controls that help ensureongoing compliance with key laws, regulations and policies affecting BNY Mellonbusinesses. Prepares complex, comprehensive, risk based reviews of existing andemerging regulatory requirements and provides prompt, focused feedback tobusiness management on concerning issues and control gaps. May contribute tothe development of recommendations for corrective action and issue tracking toensure resolution efforts proceed timely and effectively. Contributes to thepreparation of complex, time sensitive reporting and appropriately escalatesissues to senior management. No direct reports; provides guidance to morejunior team members and assigns tasks. Contributes to the achievement of teamobjectives. Modified based upon local regulations/requirements.


Bachelor s degree or the equivalent combination of education and experience is required. Business or Finance degree preferred. 10-12 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.

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.

Risk and Compliance provide risk and compliance services across all BNY Mellon businesses. Organizationally, Risk and Compliance includes the following groups: Risk Management, Compliance, Global Corporate Security, Information Risk Management and Global Business Continuity. Risk Management oversees and delivers risk services and ensures new business risks are reviewed and approved. Risk Management is organized through Chief Risk Offices for each core business and critical operation. Risk managers provide shared support to BNY Mellon for operational risk services for Global Corporate Trust, Depositary Receipts, Treasury Services and Global Operations in EMEA. Compliance helps ensure BNY Mellon's businesses maintain appropriate processes to comply with applicable laws, regulations, BNY Mellon policies and ethics. This is accomplished through business- and business partner-specific teams of professionals, under centralized global management.

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Primary Location: United States-New York-New York
Internal Jobcode: 85162
Job: Compliance
Organization: Compliance & Ethics-HR06015
Requisition Number: 1805331


Posted: 2018-05-02 Expires: 2018-10-21

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Prin, Compl&Control (Compliance Manager, Investment Management)

BNY Mellon
New York, NY

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