Compliance Manager II

  • Competitive
  • 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.

Duties:


  • 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%)


Qualifications
  • 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

  • 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: 23600
Job: Compliance
Organization: IM Infrastructure-HR14826
Requisition Number: 1900060