Compliance Specialist, Asset Management

Job Description

Alcentra is BNY Mellon Investment Management’s global asset management firm focused on sub-investment grade corporate credit. Our team brings together a depth of knowledge in sub-investment grade corporate debt that covers the entire spectrum of investment possibilities – from Secured Loans and High Yield Bonds to Direct Lending & Mezzanine, Distressed Debt and Special Situations to Structured Credit.  

Alcentra is seeking a Compliance and Control Specialist.  Responsibilities include:

  • Assist the Chief Compliance Officer and Deputy Chief Compliance Officer in analyzing, implementing and monitoring compliance with policies and procedures of the registered investment adviser.

  • Review marketing and promotional materials pursuant to SEC regulations.

  • Conduct and design tests of compliance policies and procedures pursuant to the Investment Advisers Act Rule 206(4)-7.

  • Prepare and submit regulatory filings for corporate entities and funds.

  • Provide advice to firm personnel regarding gifts, entertainment, political contributions and outside business activities.

  • Effectively communicate regulatory and procedural changes to relevant personnel.

  • Conduct ongoing compliance training of employees and orientation of new hires.

  • Participate in business and compliance related projects.

  • Dependably represent the Compliance Department by projecting integrity, honesty and competency while effectively communicating with the New York based personnel.



  • Bachelor‘s degree or the equivalent combination of education and experience is required.

  • 5-7 years of total work experience preferred. Legal, Audit or Compliance background and/or experience with financial services compliance and/or experience with sub-investment grade corporate credit and the relevant laws, regulations and rules preferred.

  • Anti-Money Laundering / Know Your Customer experience is a plus.

  • Experience with Investment Advisers Act of 1940 is highly preferred.

  • Self-Starter with the ability to manage challenging workflow in fast paced, dynamic organization, managing multiple assignments in a deadline driven environment.

  • Experience with order management systems is a plus

    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: 85160
    Job: Asset Management
    Organization: Alcentra Group-HR13364
    Requisition Number: 1908355