Regulatory Administration and Filings - M3
Leads multiple teams of Regulatory Administration and Filings staff that provide clients with legal guidance on particular areas of legislation regarding SEC filings such as prospectuses, proxy statements, and board minutes. Implements strategies to monitor regulatory developments and respond accordingly. Acts as a legal expert in client facing situations.
Provides oversight and strategic guidance around the reporting of legislative issues that clients must address during their board meetings and to make regulatory decisions.
Leads delivery of prospectuses, proxy statements, and other SEC required filings to clients and provides guidance as an expert in the law.
Acts as a point of contact between businesses and legal entities to ensure legislation is understood. Liaises with in-house counsel to ensure major filings are created and delivered in accordance to regulations.
Acts as a subject matter expert regarding specific areas of legislation within the financial services industry. Leads discussions on topics that need to be addressed in client board meetings.
Manages relationships with clients accounting firms to ensure client information and data needed for regulatory matters are exchanged in an efficient manner.
Recruits, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team.
Manages multiple Regulatory Administration and Filings teams. Work is primarily accomplished through subordinate managers.
Develops and oversees the achievement of area objectives. Manages the financial and human resources for the area.
Qualifications Bachelors degree or the equivalent combination of education and experience is required. JD from an accredited law school preferred. 7-10 years of total work experience including 1-3 years in management is preferred. Experience in the securities or financial services industry preferred.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.
Primary Location: United States-Delaware-Wilmington
Internal Jobcode: 70382
Job: Asset Servicing
Organization: Glb Fund Accnt & Fund Admin-HR13984
Requisition Number: 1906355