Compliance Manager II
- New York, NY, USA
- Permanent, Full time
- BNY Mellon Investment Management
- 20 Mar 19
Compliance Manager II
The position will be a Compliance Manager 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.
AnalyzeFund Service Providers' Compliance Programs:
Perform reviews of Fund Service Providerpolicies and procedures (20%)
On-Site due diligence of Service Providerprocedures (20%)
Assist in review of compliance reports,questionnaires, certifications and other documents received from ServiceProviders (20%)
Developand supervise periodic risk and compliance assessments of policies andprocedures (20%)
Developand supervise testing procedures (10%)
Maintaindue diligence documentation for group (10%)
- BS or MBA
- At least 10-12 years of compliance or related experience.JD or professional certification a plus.
Previous compliance experience working for aFund CCO preferable.
Previous experience performing due diligence ofinvestment advisers a plus.
Previous compliance experience at a registeredinvestment adviser acceptable.
Experience in internal audit at financialservices firm a plus if in combination with above compliance experience.
Strong knowledge of SEC regulation of investmentadvisers and investment companies with strong understanding of mutual funds.
Ability to modify Compliance Program to changesin regulatory or corporate requirements.
Prior experience in development of writtenpolicies and procedures
Knowledge and understanding of SEC Rule 206(4)-7for advisers and SEC Rule 38a-1 for funds.
Ability to interface effectively with otherDreyfus business managers, BNY Mellon Legal, Investment Managers and other ServiceProviders.
A proactive, self-starter work style and able tointeract with people with varied personalities and work styles.
Candidate must have excellent written, oral andpresentation skills
Candidate must have strong PC skills (Office)and ability to interface effectively on systems issues
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: 23600
Organization: IM Infrastructure-HR14826
Requisition Number: 1900060