BNY Mellon Careers
Walter Scott, Compliance Manager
Walter Scott has been investing money since 1983. Our philosophy is quite simple. To align our clients’ interests with companies that are capable of generating wealth over long periods of time.
From Walter Scott's office in Charlotte Square, Edinburgh, the firm's unrelenting search for world-leading companies has remained unchanged since the firm was founded. The firm's investment philosophy and process born from Edinburgh's proud history of long-term, fundamental equity analysis, has similarly been deliberately consistent.
Walter Scott's team of investment professionals, with diverse academic credentials and eclectic interests, works collectively to identify world-class businesses. That search is not confined by geography or sector limits; instead it is solely focused on a rigorous search for companies that meet the firm's defined investment criteria and standards.
Job Purpose: To provide assistance in ensuring the firm meets regulatory and policy requirements. The successful candidate will be responsible for all compliance related issues within the firm.
Objective of role:
To assist in the development and promotion of a culture of compliance within Walter Scott. Specific deliverables to include;
· Compliance Monitoring Programme - to assist in the ongoing maintenance and implementation of the compliance monitoring programme which provides management with reasonable assurance that the business understands and is complying with its regulatory/responsibilities;
· Compliance advisory service - to provide compliance advice and expertise to the business in respect of existing and new regulatory requirements affecting the activities of the firm.
Key relationships include:
· Internally within the department;
· Internally with senior management;
· Internally with staff in all other areas;
· Externally with a variety of third parties as appropriate e.g. regulators, group and external legal counsel, clients.
· Results: Action; Accountability; Execution
· People: Collaboration; Feedback; Communication
· Thought: Business Insight; Client Focus; Innovates
· Self: Courage; Self-awareness; Adapts to Change
· Good knowledge of Microsoft Office
· Experience in a compliance function within either UK or US asset manager
· Technical regulatory knowledge
· Attention to detail
· Educated to degree level or relevant industry experience
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: bnymellon.com/careers.
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: United Kingdom-Lothian Region-Edinburgh
Job: Asset Management
Internal Jobcode: 53989
Organization: Walter Scott & Partners-HR06152
Requisition Number: 1900282