Director of Global Securities Reporting

Job Description

 

BNY Mellon Investment Management is one of the world's leading investment management organizations and one of the top U.S. wealth managers. Our business encompasses BNY Mellon's affiliated investment management firms, wealth management organization, and global distribution companies.  Our goal is to build and deliver investment and wealth management strategies and solutions to meet our clients’ needs.


 

Drawing on deep expertise, we collaborate with our clients to tailor our best ideas and resources to meet their specific requirements. Through our global network we have developed a significant understanding of local requirements. We pride ourselves on providing dedicated service through our teams.

 

With extensive experience in anticipating and responding to the investment and financial needs of the world's governments, pension plan sponsors, corporations, foundations, endowments planned giving programs, advisors, intermediaries, individuals and families, and family offices, BNY Mellon Investment Management can help our clients reach their goals.

 

BNY Mellon is seeking a Director of Global Securities Reporting. The incumbent manages the substantial shareholder reporting (SSH) obligations for BNY Mellon Corporation and its Investment Management & Investment Servicing subsidiary firms, on a global basis. This job requires an individual with the skills to deal directly with regulators and regulatory agencies in a wide range of jurisdictions, and to act on behalf of the Corporation and its relevant subsidiaries in submitting securities disclosures and related communications.

  Responsibilities include:
  • Assess jurisdictional regulatory requirements and updates to determine relevance to the Corporation and incorporate into Global Holdings Reporting (GHR) processes.

  • Maintain and update resource materials including the GHR Rulebook, a document which operationalizes current SSH regulatory requirements in all active jurisdictions.

  • Execute and deliver regulatory registrations as required in local jurisdictions within strict time deadlines.

  • Review, execute and submit all required SSH, Takeover Panel, and short position disclosures and related documentation on behalf of the Corporation and its subsidiaries.

  • Review, execute, and submit all SEC 13f/g/h filings made on behalf of the Corporation and its subsidiaries.

  • Act as a key resource for the Corporation in identifying & monitoring reporting obligations and securities holdings prohibitions & limitations across all active jurisdictions and industries.

  • Manage GHR’s list of restricted securities.
  • Communicate with investment firms, management, and internal legal on a frequent basis; Independently communicate with regulatory bodies, stock exchanges and issuers in 40+ jurisdictions.

  • Formulate and provide ad hoc reports to Senior Management.

  • Provide support and guidance to GHR analytical staff. 

 

Qualifications

  • MBA, JD or advanced degree preferred.

  • 7+ years’ experience preferred

  • Familiarity with investment management businesses and compliance/risk functions is essential.

  • Prior securities experience (compliance, portfolio management, trading desk) and an in depth knowledge of the securities industry is required.

  • Strong communication skills, written and verbal.

  • Ability to work with and understand wide range of data and systems issues across a number of firms in various geographic locations.

  • Able to work under tight time frames in a high stress environment.

  • Critical thinking, process improvement.

  • Business judgment; Risk management



BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.


Primary Location: United States-New York-Uniondale
Internal Jobcode: 33097
Job: Asset Management
Organization: IM Infrastructure-HR14826
Requisition Number: 1914558