Sorry, this job is no longer accepting applications. See below for more jobs that match what you’re looking for!

Specialist, Compliance And Control (Investment Management Compliance)

Expired Job

The Bank Of New York Mellon New York , NY 10007

Posted 3 weeks ago

Primary responsibilities involve reviewing sales & marketing material for investment strategies as well as for fund vehicles (registered & unregistered) to ensure compliance with applicable SEC & FINRA regulations.

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. Qualifications Bachelor s degree or the equivalent combination of education and experience is required. Business or Finance degree preferred. 5-7 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.

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: 85160

Job: Asset Management

Organization: IM Infrastructure-HR14826

Requisition Number: 1815705

See if you are a match!

See how well your resume matches up to this job - upload your resume now.

Find your dream job anywhere
with the LiveCareer app.
Download the
LiveCareer app and find
your dream job anywhere

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Sr Compliance Analyst Registered Investment Company

City National Corporation

Posted 7 days ago

VIEW JOBS 11/14/2018 12:00:00 AM 2019-02-12T00:00 The position will work with the Chief Compliance Officer and will be responsible for helping to maintain and manage the firm's CNR Rule 206(4)-7 and Funds Rule 38a-1 compliance program, including instituting effective systems and controls to ensure that the firm's business activities comply with applicable securities laws, regulations and firm standards, policies, and procedures. The Analyst should have a high level understating of the financial services industry standards processes, and regulations, skill in communication with all levels in the organization, and established people, process, and project management experience. Responsibilities * Conduct periodic testing of policies and procedures under Rule 206(4)-7 to ensure adherence to compliance policies and procedures, including personal trade monitoring, political contribution monitoring, third party service provider due diligence and marketing; * Maintain testing records, summarize results of testing and provide timely feedback to management, follow up on prior compliance recommendations; * Assists in maintaining code of ethics, insider trading, personal trading reviews, employee account reviews and all applicable policies, including maintaining the Compliance Manual in accordance with SEC regulations and firm practices; * Assist with regulatory filings and reviews (e.g., Form ADV, Form 13F/G/H); * Reviewing marketing materials to ensure compliance with applicable regulations and firm policies, maintain marketing disclosure library; * Provide support in handling regulatory and internal audit inquiries, requests for information, and third party compliance reviews; * Provide compliance support in the onboarding process of new employee; * Provide support to the CCO by reviewing, updating, testing and maintaining compliance policies and procedures consistent with Rules 206(4)-7 and Rule 38a-1; * Assist with the oversight of sub-advisers by reviewing quarterly reporting materials and other information utilized in order to confirm each sub-adviser's and service provider's compliance with applicable securities laws, prospectus requirements, and firm policies; * Provide support for ad hoc projects. Job Skills & Knowledge * *Minimum 5 years of experience in a compliance, regulatory, audit or a similar control function; * *Minimum 3 years of Compliance experience at a Registered Investment Advisor; * *High school diploma or GED required * Bachelor's Degree highly preferred * Ability to work independently in a fast paced environment while meeting deadlines; * Excellent project and time management skills; * Excellent communication skills (written and verbal); * Ability to assess, investigate and interpret issues; * Strong interpersonal and relationship management building skills, team player, proactive, responsive, and ability to collaborate and negotiate with personnel at all levels; * Strong analytical and practical problem solving skills; and * Proficient in Microsoft applications including MS Word, Excel, Outlook, PowerPoint. * Represents basic qualifications for the position. To be considered for this position you must at least meet the basic qualifications. City National Bank is an Equal Opportunity Employer - Affirmative Action Employer, Minorities/Females/Individuals with Disabilities/Veterans. Note: This preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Note: Candidates should be advised that City National Bank does not pay interviewee travel expenses or relocation expenses for candidates who are hired unless previously agreed. #LI-CK1 #gd-ck #ca-ck Equal Opportunity Empl City National Corporation New York NY

Specialist, Compliance And Control (Investment Management Compliance)

Expired Job

The Bank Of New York Mellon