Chief Compliance Officer - Mellon Investments Corporation (Mellon) Chief Compliance Officer - Mellon Investments  …

BNY Mellon
in Boston, MA, United States
Permanent, Full time
Last application, 21 Jun 21
Competitive
BNY Mellon
in Boston, MA, United States
Permanent, Full time
Last application, 21 Jun 21
Competitive
Chief Compliance Officer - Mellon Investments Corporation (Mellon)
Mellon is seeking a highly focused and experienced Chief Compliance Officer (CCO) to manage and oversee all regulatory and compliance aspects of an SEC registered investment adviser. Mellon's business is focused on index and cash management through separate accounts, 40 Act funds, ETFs, and collective investment funds. The CCO will oversee a team that is responsible for all aspects of the compliance program including, but not limited to, Code of Ethics, compliance training, AML/KYC, regulatory filings (Form ADV, Form, CRS, etc.), NFA/CFTC program, marketing material reviews, policies and procedures, monitoring and testing, management of all regulatory exams and audits, and client compliance reporting. The CCO will have a direct reporting line into the Global Head of Compliance for BNY Mellon Investment Management and a matrix reporting line into the CEO of Mellon. Primary Responsibilities: Manage all aspects of the compliance program in accordance with the Investment Advisers Act of 1940, as amended. Strong understanding of federal securities laws including applicable SEC rules and regulations, CFTC and NFA rules, ERISA, and certain bank regulations, such as the Volcker Rule, Regulation W, and rules applicable to bank maintained collective investment funds. Maintain customized policies and procedures and implement a monitoring and testing program in compliance with federal securities laws. Meet with clients and prospects as part of new business opportunities and on-going due diligence. Research issues and questions as necessary to provide compliant and reliable advice and direction to senior management and employees on compliance issues. Proactively identify risk areas and implement solutions and enhancements. Serve as the primary contact person for any regulatory exam and audits. Foster a positive compliance culture. Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various enhancements to the compliance program. Qualifications Bachelor s degree or the equivalent combination of education and experience is required. MBA, JD or professional certification highly preferred. 12-15 years of total work experience, with 3-5 years of management experience, preferred. Investment Company Act Compliance, Investment Adviser Compliance or regulatory experience required. Strong knowledge and understanding of the US regulatory environment. Direct experience with index and cash management a plus. Demonstrated ability to work effectively with a wide variety of individuals throughout the organization, including relationship management/sales, marketing, operations, trading, portfolio management, risk, legal, and senior management. Excellent organizational, analytical skills and attention to detail. Prior management experience required. Ability to meet deadlines. Strong writing and communication skills are required. Computer skills including MS Office, Outlook and Excel. BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans. Our ambition is to build the best global team - one that is representative and inclusive of the diverse talent, clients and communities we work with and serve - and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums. Primary Location: United States-Massachusetts-Boston Internal Jobcode: 85168 Job: Asset Management Organization: Mellon With TOH ADJ-HR13428 Requisition Number: 2110251
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