Senior Compliance Specialist - Mellon
Company: Bank of New York Mellon
Posted on: September 19, 2023
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.
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
- 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
- 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
- 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
- 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
- Bloomberg's Gender Equality Index (GEI)
- Human Rights Campaign Foundation, 100% score Corporate Equality
- Best Places to Work for Disability Inclusion , Disability: IN -
- 100 Best Workplaces for Innovators, Fast Company
- CDP's Climate Change 'A List'
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
BNY Mellon is an Equal Employment Opportunity/Affirmative Action
Employer - Underrepresented racial and ethnic
groups/Females/Individuals with Disabilities/Protected
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
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.
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.
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
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