BNY Mellon Careers

Compliance Officer I - AMNA

Boston, Massachusetts; Pittsburgh, Pennsylvania
Asset Management

Job Description

About us: The Boston Company, Standish and Mellon Capital
A specialist multi-asset investment management firm dedicated to serving sophisticated investors globally, providing clients with high-quality single and multi-asset investment solutions using both active and passive strategies. Coming together in 2018 through the combination of Mellon Capital, Standish, and The Boston Company, the combined asset manager has the scale and investment capabilities to offer institutional and intermediary clients a broad range of specialist investment solutions. The Boston Company, Standish and Mellon Capital are product brands of BNY Mellon Asset Management North America.

The Compliance Officer will be primarily responsible for organizing and responding to client compliance reporting initiatives for BNY Mellon Asset Management North America (“AMNA”) which includes: comprehensive 1940 Act Fund reporting requirements, recurring compliance certifications for institutional separate account and bank collective fund clients and ad hoc compliance reporting to the client consultant universe. This person will also assist in responding to client due diligence requirements and RFP/RFI requests.  The Compliance Officer will interface daily with the Marketing, Client Service and Relationship Management as well as other functional units within the business.

  Responsibilities include:
  •  Ensure client compliance reporting requirements are fulfilled, including completion of compliance certifications and gathering documentation for due diligence requests.
  • Respond to monthly/quarterly/annual client questionnaires, client board materials and 38(a)-1 requests for mutual fund clients and required disclosure requests for ERISA clients.
  • Function as a compliance liaison between Relationship Management and Client Service Departments to ensure that all client reporting needs are met in a timely and diligent manner.
  • Support the compliance group as needed with special projects
  • Other duties and responsibilities in support of team and company goals
  The candidate must be able to:  
  • Manage multi-faceted assignments and projects while still maintaining priorities.
  • Assist in remediating identified compliance issues and documenting evidence.
  • Communicate effectively and work collaboratively with business unit teams and management.
  • Be a team player, be proactive, adaptable, self-motivated and inquisitive


The qualified candidate will have a BA/BS degree and 3-5 years of relevant experience, preferably with a compliance or investment operations background within an asset management firm. The candidate must have a firm understanding of security types (stocks, bonds, etc.) and a basic understanding of financial rules and regulations including the 1940 Act.  The candidate must demonstrate strong analytical and problem solving skills and must possess excellent attention to detail.  The candidate must have the ability to organize and prioritize multiple projects.  The candidate must demonstrate excellent oral and written communication skills and confidence interacting with other internal business units.


A firm understanding of both Microsoft Excel and Word is required.  The candidate should have a familiarity with financial information systems such as Factset, Bloomberg and investment accounting solutions.

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark:

As one of the world's leading investment management organizations and one of the top U.S. wealth managers, BNY Mellon Investment Management combines agility, insight and scale to create and deliver strategies and solutions to address our clients' needs. Encompassing BNY Mellon's investment management firms, wealth management organization and global distribution teams, we draw on deep expertise to collaborate with clients and tailor our best ideas and resources to meet their specific needs. We pride ourselves on providing dedicated service through our network of global professionals who have a deep understanding of local requirements. With our extensive experience in anticipating and responding to the investment and financial needs of the world's governments, pension plan sponsors, corporations, foundations, endowments, advisors, intermediaries, individuals and families, and family offices, BNY Mellon Investment Management is dedicated to helping clients reach their goals.

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Primary Location: United States-Massachusetts-Boston
Internal Jobcode: 23650
Job: Asset Management
Organization: NA Investment Boutiques-HR13428
Requisition Number: 1801589