Vice President, ETF Compliance Specialist
5 hours ago
We are seeking a highly skilled and experienced Vice President, ETF Advisor Compliance to join our Investment Management Compliance team in New York City, NY - HYBRID.
Key Responsibilities- Contribute to the compliance efforts of multiple assigned business units, analyzing existing and proposed legislation, regulatory announcements, and industry practices to develop and implement procedures.
- Maintain strong working relationships with peer compliance teams, senior management, Legal, and Risk.
- Conduct fund and adviser-related compliance program testing and monitoring, assisting with preparation of compliance-related board and business line reporting.
- Assist with preparation of regulatory reporting (Form ADV; Form PF; etc.), compliance manual maintenance, and marketing material review.
- Contribute to the development of projects and programs to improve compliance and enhance the control environment.
- Bachelor's degree or the equivalent combination of education and experience is required.
- Business or Finance degree preferred.
- Years of total work experience preferred.
- Mutual Fund / ETF Compliance and/or Investment Adviser Compliance experience highly preferred.
BNY Mellon is a leading global financial services company with a rich history and industry firsts. We offer a culture that empowers you to grow, take risks, experiment, and be yourself. Our inclusive culture has earned us numerous awards, including Fortune World's Most Admired Companies & Top for Diversity and Inclusion, Bloomberg's Gender Equality Index (GEI), and Human Rights Campaign Foundation, Corporate Equality Index.
BenefitsBNY Mellon offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life's journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves that can support you and your family through moments that matter.
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