BNY Mellon Careers

Compliance Officer II

New York, New York
Compliance


Job Description

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:


  • 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