Compliance Officer II

The position will be a Compliance Officer in the Fund Chief Compliance Officer Group which supports the Dreyfus Fund Chief Compliance Officer in conjunction with maintenance of a Compliance Program to satisfy SEC Rule 38a-1 of the Investment Company Act.

Duties:

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  Assist in analysis of Fund Service Providers' Compliance Programs:
  
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    Perform reviews of Service Provider policies and procedures (20%)
    
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    On-Site due diligence of Service Provider procedures (20%)
    
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  Assist in review of compliance reports, questionnaires, certifications and other documents received from Service Providers (20%)
  
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  Perform periodic risk and compliance assessments of policies and procedures (20%)
  
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  Perform testing procedures (10%)
  
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  Maintain due diligence documentation for group (10%)
  

Qualifications

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  BA/BS
  
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  At least 5-7 years of compliance or related experience. JD, CPA or CFA a plus.
  
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  Previous compliance experience working for a Fund CCO preferable.
  
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  Previous experience performing due diligence of investment advisers a plus.
  
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  Previous compliance or operational experience at a registered investment adviser acceptable.
  
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  Experience in internal audit at financial services firm a plus if in combination with above compliance experience.
  
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  Knowledge of SEC regulation of investment advisers and investment companies with strong understanding of mutual funds.
  
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  Ability to interface effectively with other Dreyfus business groups, BNY Mellon Legal, Investment Managers and other Service Providers.
  
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  A proactive, self-starter work style and able to interact with people with varied personalities and work styles.
  
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  Candidate must have excellent written, oral and presentation skills
  
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  Candidate must have strong PC skills (Office)
  
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  Travel required
  

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: 23640
Job: Compliance
Organization: IM Infrastructure-HR14826
Requisition Number: 1818271