Compliance Specialist (Investment Management)
Reports and Management of Information
- Assist with the maintenance of compliance policies and procedures on a periodic basis and as needed basis to accurately reflect changes to business practices and/or the regulatory environment.
- Completion of tasks and responding to questions from the business including but not limited to:
- Anti-Financial Crime
- Conflict of Interest
- Code of Ethics
- Liaise with the business line at Newton as well as BNY Mellon to assist with compliance oversight and monitoring processes.
- Review of upcoming regulatory changes and analysis of how they will impact Newton.
- Assist with designing and delivery of compliance training to the business.
- Liaise with Compliance Monitoring and Internal Audit to deal with issues related to the Compliance team's responsibilities.
- To provide support to other teams in the wider Risk & Compliance department, as required.
Projects and Compliance Development
- Attending and preparing materials for Governance Committees, as required.
- Drafting of compliance, risk and related reports on behalf of the Compliance and Risk teams.
- Involvement in Compliance projects as appropriate
- To develop and enhance regulatory knowledge
Some experience( 5-7 yrs) of working within the financial services industry, with knowledge and good understanding of SEC and CFTC rules preferred.
Excellent communication skills (oral and written), with the ability to work on multiple tasks simultaneously
Good organisational skills and time keeping
Flexible team approach
IT skills (excel/word) Values
- Client Focus - demonstrates clear understanding of importance of effective customer service, internally and externally
- Trust - evidences high standards of integrity and openness
- Teamwork - demonstrates ability to work effectively as a member of a team, a collaborative style, and understands the value of diversity
- "Outperformance" - evidences the ability to exceed expectations of others
- Global Acumen - Demonstrating an understanding of the competitive global business environment as well as an awareness of economic, social, and political trends that impact the organization's global strategy.
- Developing Partnerships - Developing and using collaborative relationships inside and outside the organization to facilitate the accomplishment of work goals.
- Building Organisational Talent - Evaluating and selecting internal and external talent to ensure the best match between the individual and the work requirements. Provides timely coaching, guidance and feedback to help others maximize their potential and meet key accountabilities.
- Change Leadership - Encouraging others to seek opportunities for different and innovative approaches to addressing problems and opportunities; facilitating the implementation and acceptance of change.
- Client Orientation - Cultivates client relationships and ensures that the client perspective is the driving force behind all value added business activities.
- Operational decision making - Securing and comparing information from multiple sources to identify business issues; committing to an action after weighing alternative solutions against important decision criteria and organizational values.
Driving execution - Setting high goals for personal and group accomplishment; using measurement methods to monitor progress toward goals; tenaciously working 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:
Asset Management Organization:
Mellon With TOH ADJ-HR13428} Requisition Number: