BNY Mellon Careers

Senior Specialist, Compliance and Control (Asset Management Compliance Experience Required)

Toronto, Canada
Asset Management

Job Description

Manages specialized compliance efforts for the Company as they relate to analytic regulatory requirements, programs and project development.  Analyzes existing/proposed regulation and industry practices within the specialty areas of asset management, investment fund managers and exempt market dealer legislation and helps business develop & implement procedures to meet these requirements.  Validates controls or project plans to ensure compliance with laws, rules and regulations.  Collaborates with business managers in responding to regulatory and/or audit findings.  Acts as a subject manager expert for non-Canadian based investment advisers and broker/dealers which have dealings in Canadian provinces and/or territories.  Will have contact with regulators, government officials and senior Business Managers.  Will work with the CCO of a Canadian Portfolio Manager, Exempt Market Dealer, Investment Fund Manager and Commodities Trading Manager to create and maintain a compliance program for an internationally-based group of institutional asset managers doing business in Canada.   The Compliance Manager will perform periodic, ad hoc, and ongoing compliance monitoring, supervision and reporting, as well as project work relating to the implementation of new legislative requirements.    Responsibilities
  • Review of marketing materials and RFPs
  • Manage compliance monitoring program
  • Anti-money laundering and anti-terrorism compliance (running daily scans, monthly terrorist property reviews and filings, annual AML risk assessment, and employee training)
  • Privacy and anti-spam compliance
  • Work with the Chief Compliance Officer to develop and implement new policies and procedures, periodic client and board reporting, conduct new and ongoing employee training
  • Assist with corporate governance


  • Bachelor degree required; focus on finance or business administration preferred
  • 7-10  years of experience in the asset management industry, with a focus on compliance
  • CSC and CPH (or equivalent) required; PDO and CFA designation an asset
  • Strong analytic and quantitative skills, people skills essential
  • Solid knowledge of Canadian securities legislation
  • Proficient in Microsoft Office software
  • Accountable, accurate and detail-oriented, exceptional follow-through
  • Time management and organization skills essential; ability to work independently
  • Ability to adapt to a changing environment, ability to work under pressure
  • Strong oral and written communication

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 Employer.

Primary Location: Canada-Ontario-Toronto
Job: Asset Management
Internal Jobcode: 85161
Organization: North America Distribution-HR11430
Requisition Number: 1808584