1+ months

Principal, Compliance (Registered Investment Advisor)

BNY Mellon
New York, NY 10007

Developand implement registered investment advisor compliance program within globalcustody bank. Provide guidance and support to business partners, seniormanagement and compliance team in the development of infrastructure and controlrequirements. Ensure that appropriate regulatory policies, procedures andcontrols are established, maintained and well-documented. Take ownership of allongoing compliance review processes and requirements, including SEC applicationprocess, annual reviews and meetings, Form ADV filings, review and drafting ofpolicies and compliance program framework and operations, etc. Manage andcoordinate SEC regulatory examinations, including written responses. Oversee compliance risk assessments, testing and monitoringprogram in accordance with regulatory expectations and best practices andpreparation of annual CCO report. Thorough knowledge of the investment advisorybusiness from a product, corporate governance, compliance and administrativeperspective. Working knowledge of Investment Advisers Act of 1940, relevant SECrules and regulations and state regulatory framework. Thorough knowledge ofsecurities products (i.e. mutual funds, ETFs, structured products andindividual securities) and compliance and supervisory requirements. Broadexposure to key functional areas of product due diligence, recruiting andretention, Excellent ability to interpret and Partner with the Legalteam to analyze changes to regulatory requirements, proactively handleregulatory developments, and advise on new product launches. Continue todevelop and mentor our excellent compliance professionals.


Minimum Requirements
  • Minimum of 10-12 year experienceas a compliance professional at a SEC-registered investment adviser (diversityof experience strongly preferred)
  • Experience with rulesand regulations applicable to investment advisors and broker-dealers
  • Comfort withambiguitycapable of solving complex problems independently in a fast-pacedenvironment and adapting along the way
  • Demonstrated success asa values-based leader who can build and maintain a culture of empowerment,ownership, and accountability
  • Ability to initiate anddrive projects to completion with minimal guidance
Preferred Requirements
  • CCO or the number twocompliance professional for SEC-registered investment adviser
  • Series, 7, 24 and 14
  • Experience with bankingregulations

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

Our ambition is to build the best global team one that is representative and inclusive of the diverse talent, clients and communities we work with and serve and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

Primary Location: United States-New York-New York
Internal Jobcode: 85162
Job: Risk
Organization: Front Office Solutions-HR14726
Requisition Number: 2010259


Posted: 2020-11-20 Expires: 2021-02-19

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Principal, Compliance (Registered Investment Advisor)

BNY Mellon
New York, NY 10007

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