Portfolio Compliance Analyst, Asset Management

Job Description

We are seeking a Portfolio Compliance Analyst to assist with daily compliance management and oversight of client investment guidelines.

 

The primary responsibilities of the Portfolio Compliance Analyst is monitoring investment guidelines, developing and testing compliance rules using Charles River Development (CRD), monitoring pre-trade/post-trade compliance alerts, and investigating and resolving guideline breaches. This includes but is not limited to, client investment guidelines, regulatory rules and restrictions, Mellon’s internal and BNY Mellon corporate policies, and rules pertaining to relevant regulatory agencies and foreign jurisdictions.

 

The Portfolio Compliance Analyst reports to the Portfolio Compliance Manager and will require daily interaction with investment teams, traders, distribution, and operations staff across a variety of investment strategies and products. Additionally, the Portfolio Compliance Analyst will assist with inquiries from clients, internal and external auditors, regulatory examiners, and corporate risk and compliance officers.

 

Candidate must display sound business judgment in driving results and creating and implementing creative business solutions to complex compliance issues.

 

Essential Responsibilities

 

  • Review client agreements and develop compliance rules in Charles River Development (CRD) based on investment guidelines.

  • Monitor daily pre-trade and post-trade alerts. Effectively communicate and work with portfolio managers, client service representatives, and team members to resolve compliance issues/breaches.

  • Respond to internal and external compliance inquiries and requests.

  • Process client restricted list requests into the system.

  • Timely completion of client certifications and due diligence questionnaires while ensuring appropriateness and consistency of responses.

  • Understand Mellon’s products and strategies and help administer the firm’s compliance program.

  • Complete ad hoc assignments and assist with completion of overall departmental goals.

Qualifications

  • Bachelor’s degree required. CFA and/or advanced degree a strong plus.

  • Minimum 3-5 years relevant working experience in compliance or auditing at an investment advisory or asset management firm.

  • Experience with Charles River Development or comparable compliance monitoring system. Knowledge of Aladdin system a plus.

  • Knowledge of securities laws including those under the Investment Company Act of 1940, UCITS, and ERISA.



  • Detail oriented, collaborative mindset, positive attitude and ability to function well in a team environment.

  • Requires strong oral and written communication skills, problem solving and project management abilities, excellent time management, and willingness to learn.


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


Primary Location: United States-California-San Francisco
Internal Jobcode: 70403
Job: Asset Management
Organization: Mellon With TOH ADJ-HR13428
Requisition Number: 1914769