BNY Mellon Careers

Compliance Manager II

New York, New York
Compliance


Job Description

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:

  • 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%)


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 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

  • 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