Senior Compliance Specialist - Mellon

Company: Bank of New York Mellon
Location: Boston
Posted on: September 19, 2023

Job Description:

Overview

Mellon - Senior Specialist, Compliance

About BNY Mellon Investment Management:

BNY Mellon Investment Management is a leading investment manager, with $1.8 trillion* in assets under management as of December 31, 2022. Through an investor-first approach, the firm brings to clients the best of both worlds: specialist expertise from seven specialist investment managers offering solutions across every major asset class, backed by the strength, stability, and global presence of BNY Mellon.

BNY Mellon Investment Management is a division of BNY Mellon, which has $44.3 trillion in assets under custody and/or administration as of December 31, 2022. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation (NYSE: BK). Additional information is available on www.bnymellon . com. Follow us on Twitter @BNYMellon or visit our newsroom at www.bnymellon.com/newsroom for the latest company news.

About Mellon

Driving client outcomes through perspective, precision, and partnership. Mellon is a global leader in index management and one of the world's largest institutional index managers by assets under management. Since 1983, Mellon's dedication to precision and client partnership has gone beyond the benchmark. Our storied history of innovation can be tracked back to the 1970s to founders William Fouse and Thomas Loeb, who are widely recognized as pioneering developers and champions of indexing. Armed with perspective earned from 40 years of experience, Mellon manages money for many of the world's most sophisticated clients, proving that index investing requires an active mindset.

We're seeking a future team member for the role of Senior Compliance Specialist to join our Mellon Compliance team. This role is located in Boston, MA or Pittsburgh, PA. The role is a hybrid role, with 3 days in the office.

In this role, you'll make an impact in the following ways:

• In partnership with business units responds to compliance requests and questionnaires, including due diligence questionnaires, 15(c) requests, and Request for Proposals (RFPs).
• Contributes to the preparation of time sensitive reporting and appropriately escalates issues.
• Conduct monitoring and testing of policies and procedures to assist with the Compliance Program and post trade compliance reviews.
• Review existing and proposed legislation, regulatory announcements, and industry practices to develop and maintain policies and procedures to meet requirements.
• Assist in the monitoring of email surveillance and the appropriate escalations.
• Review and maintain existing desk procedures and assist in developing new procedures as necessary.
• Ad hoc projects on an as needed basis.
  To be successful in this role, we're seeking the following:
  
  • Bachelor's degree or the equivalent combination of education and experience is required.
  • A minimum 5+ years of relevant Compliance experience, preferably at an asset management, or experience with financial services or audit experience.
  • Strong knowledge of the federal securities laws, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and ERISA.
  • The ability to demonstrate strong analytical and problem-solving skills and possess excellent attention to detail.
  • Able to work independently and in a team environment.
    At BNY Mellon, our inclusive culture speaks for itself. Here's a few of our awards:
    
    • Fortune World's Most Admired Companies & Top 20 for Diversity and Inclusion
    • Bloomberg's Gender Equality Index (GEI)
    • Human Rights Campaign Foundation, 100% score Corporate Equality Index
    • Best Places to Work for Disability Inclusion , Disability: IN - 100% score
    • 100 Best Workplaces for Innovators, Fast Company
    • CDP's Climate Change 'A List'
      Our Benefits:
      
      BNY Mellon offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life's journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves that can support you and your family through moments that matter.
      
      BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
      
      Bring your ideas. Make history.
      BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the "bank of banks" - 97% of the world's top banks work with us as we lead and serve our customers into the new era of digital.
      
      With over 238 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we're approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.
      
      #LI-Hybrid
      
      Employer Description:
      
      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 and 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.
      
      EEO Statement:
      
      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.

Keywords: Bank of New York Mellon, Boston , Senior Compliance Specialist - Mellon, Accounting, Auditing , Boston, Massachusetts