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Regulatory Compliance Manager, Asset Management

2 months ago

New York, New York, United States THE BANK OF NEW YORK MELLON CORPORATION Full time
About the Role

We are seeking a highly skilled and experienced Senior Compliance Officer to join our Investment Management Compliance team in New York City. As a key member of our team, you will play a critical role in ensuring the compliance of our ETF advisory services with regulatory requirements.

Key Responsibilities
  • Contribute to the development and implementation of compliance programs for multiple business units.
  • Analyze regulatory announcements, industry practices, and existing legislation to identify potential compliance risks and develop strategies to mitigate them.
  • Maintain strong working relationships with peer compliance teams, senior management, Legal, and Risk.
  • Conduct regular compliance program testing and monitoring, and assist with the preparation of compliance-related board and business line reporting.
  • Assist with the preparation of regulatory reporting, compliance manual maintenance, and marketing material review.
  • Contribute to the development of projects and programs to improve compliance and enhance the control environment.
Requirements
  • Bachelor's degree or equivalent combination of education and experience.
  • Business or Finance degree preferred.
  • Minimum 5 years of total work experience.
  • Mutual Fund/ETF Compliance and/or Investment Adviser Compliance experience highly preferred.
About BNY Mellon

BNY Mellon is a leading global financial services company that provides investment management, custody, and other financial services to institutions and individuals. We are committed to delivering exceptional client service and building long-term relationships with our clients.