Compliance Officer II
- Employer
- BNY Mellon Investment Management
- Location
- New York, USA
- Salary
- Competitive
- Closing date
- May 8, 2019
View more
- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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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:
Qualifications
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
Duties:
- Assist in analysis of Fund Service Providers' Compliance Programs:
- Perform reviews of Service Provider policies and procedures (20%)
- On-Site due diligence of Service Provider procedures (20%)
- Assist in review of compliance reports, questionnaires, certifications and other documents received from Service Providers (20%)
- Perform periodic risk and compliance assessments of policies and procedures (20%)
- Perform testing procedures (10%)
- Maintain due diligence documentation for group (10%)
Qualifications
- BA/BS
- At least 5-7 years of compliance or related experience. JD, CPA or CFA a plus.
- Previous compliance experience working for a Fund CCO preferable.
- Previous experience performing due diligence of investment advisers a plus.
- Previous compliance or operational experience at a registered investment adviser acceptable.
- Experience in internal audit at financial services firm a plus if in combination with above compliance experience.
- Knowledge of SEC regulation of investment advisers and investment companies with strong understanding of mutual funds.
- Ability to interface effectively with other Dreyfus business groups, BNY Mellon Legal, Investment Managers and other Service Providers.
- A proactive, self-starter work style and able to interact with people with varied personalities and work styles.
- Candidate must have excellent written, oral and presentation skills
- Candidate must have strong PC skills (Office)
- 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
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