Dreyfus Adviser Compliance Manager
- New York, NY, USA
- Permanent, Full time
- BNY Mellon
- 30 Sep 16
Dreyfus Adviser Compliance Manager
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 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.
The Dreyfus Corporation, established in 1951 and headquartered in New York, is one of the nation's leading investment management and distribution companies, currently managing approximately $286 billion in mutual funds and separately managed accounts. As part of BNY Mellon Investment Management, Dreyfus provides unique access to its exclusive and diverse global network of world-class asset managers, delivering powerful investment insight and strategies, including equity, fixed income and money market mutual funds, separately managed accounts, retirement and cash management strategies and asset allocation solutions.
The Role :
The individual in this role acts as the Compliance Manager for a SEC-registered investment adviser (Dreyfus) and will support adviser compliance for any activities where Dreyfus acts as an adviser. The Compliance Manager reports to the Dreyfus Chief Compliance Officer and will be a member of the BNY Mellon Investment Management Risk and Compliance organization.
- Develop and maintain a Compliance Program for Dreyfus consisting of:
- Policies and procedures adequate to prevent violations of federal securities laws
- Procedures adequate to comply with BNY Mellon corporate policies
- Oversight of testing program to assess compliance with policies and procedures
- Develop and maintain conflict and compliance risk assessments applicable to Dreyfus adviser activities
- Perform continual assessment of policies and procedures and a formal written annual review of the Compliance Program for Dreyfus in accordance with SEC Rule 206(4)-7
- Compliance oversight of portfolio management, trading and credit research activities for Dreyfus money market strategies
- Work closely with Fund compliance personnel with respect to Dreyfus adviser activities as a service provider to Dreyfus Funds
- Interface with BNY Mellon Legal in the analysis and interpretation of applicable laws and regulations
- Recommend changes to Dreyfus policies and procedures and implementation of approved recommendations
- Maintain records in accordance with SEC requirements
- Prepare, maintain and file the firm's Form ADV
- Participate in SEC examinations of Dreyfus
- Provide support to Dreyfus in connection with internal audits
- Ability to modify compliance programs to adhere to changes in regulatory or corporate requirements
- Ability to interface effectively with other BNY Mellon compliance officers, Dreyfus advisory personnel, BNY Mellon Legal staff, advisory clients and other service providers
- A proactive, self-starter work style and able to interact with people with varied personalities and work styles
Basic Qualifications :
- Bachelors Degree
- At least 10 years of compliance experience at a registered investment adviser
- Prior experience developing written policies and procedures
- Proficiency with SEC regulation of investment advisers, especially with SEC Rule 206(4)-7
- Proficiency with ERISA regulations for investment advisers
- MBA or JD
- At least 10 years of compliance experience at a registered investment adviser for a mutual fund organization
- Prior experience developing written policies and procedures for mutual funds and money market funds
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: 23610
Job: Asset Management
Organization: North America Distribution-HR11430
Requisition Number: 1610983