BNY Mellon Careers
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.
Analyze Fund Service Providers’ Compliance Programs:
Perform reviews of Fund 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%)
Develop and supervise periodic risk and compliance assessments of policies and procedures (20%)
Develop and supervise testing procedures (10%)
Maintain due 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 a Fund CCO preferable.
Previous experience performing due diligence of investment advisers a plus.
Previous compliance experience at a registered investment adviser acceptable.
Experience in internal audit at financial services firm a plus if in combination with above compliance experience.
Strong knowledge of SEC regulation of investment advisers and investment companies with strong understanding of mutual funds.
Ability to modify Compliance Program to changes in regulatory or corporate requirements.
Prior experience in development of written policies and procedures
Knowledge and understanding of SEC Rule 206(4)-7 for advisers and SEC Rule 38a-1 for funds.
Ability to interface effectively with other Dreyfus business managers, 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) 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