Compliance Analyst Compliance Analyst …

BNY Mellon
in Boston, MA, United States
Permanent, Full time
Last application, 17 Jun 21
Competitive
BNY Mellon
in Boston, MA, United States
Permanent, Full time
Last application, 17 Jun 21
Competitive
Compliance Analyst
The Compliance Analyst will be primarily responsible for the coding and daily maintenance of guidelines within the Charles River Compliance platform. This includes the coding of new and revised account guidelines, maintenance of rule based lists within CRD, reviewing post trade compliance reports, and the daily adding and lifting of pre-trade alerts as required. The incumbent will be responsible for reading and reviewing governing documents such as client investment guidelines, and the Prospectus and SAI, if applicable, and identifying and extracting all guidelines to be coded. The incumbent will be responsible for working with the Trading, Operations, and Portfolio Management teams on a daily basis. Responsibilities: The Compliance Analyst resides in the business and supports management in the day-to-day efforts related to first line of defense regulatory oversight management with laws, rules, regulations and related policies. Performs research and analyzes relevant information and transactions that warrant further investigation. Communicates with internal and external parties as needed and makes recommendations on necessary procedural/control changes on regulatory oversight management matters. Strong oral and written communication skills and the ability to implement compliance policies and procedures. Verify practices against straightforward policies, with moderate supervision. Document findings for management reports. Gathers data and prepares materials for more senior team members to counsel business personnel on first line of defense compliance with policies. Qualifications Qualifications: Bachelor's degree or the equivalent combination of education and experience is required. Advanced/graduate degree preferred. 0-3 years of total work experience. 2-5 years of relevant experience of compliance background within an asset management firm preferred The candidate must have a firm understanding of security types (stocks, bonds, etc.) and a basic understanding of financial rules and regulations including the 1940 Act preferred The candidate must demonstrate strong analytical and problem-solving skills and must have an excellent attention to detail. The candidate must have the ability to organize and prioritize multiple projects. A firm understanding of both Microsoft Excel and Word is required. The candidate should have a familiarity with financial information systems such as FactSet and Bloomberg, and a background using Charles River 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: 70403 Job: Asset Management Organization: Mellon With TOH ADJ-HR13428 Requisition Number: 2108218
BNY  Mellon logo
More Jobs Like This
See more jobs
Close
Loading...
Loading...