at BNY Mellon
Asset ManagementPosted 13 days ago
No clicks
**Senior Vice President, Compliance & Control (Investments Compliance)** This Boston-based role supports multiple SEC Registered Investment Advisers (RIAs) within BNY Investments. Key responsibilities include developing robust compliance programs, ensuring regulatory adherence, and collaborating with senior management. The incumbent will assist in policy creation, regulatory filings, risk assessments, and regulatory examinations. Requirements include a Bachelor's degree (MBA preferred), 10-12 years of relevant compliance experience, exceptional communication skills, and a proven ability to analyze complex issues and manage multiple projects. Candidates with alternatives experience are also welcome to apply.
- Compensation
- Not specified
- City
- Boston
- Country
- United States
Currency: Not specified
Full Job Description
Were seeking a future team member for the role of Senior Vice President, Compliance and Control to join our BNY Investments team. This role is located in Boston
This role will support multiple affiliated SEC Registered Investment Advisers (RIAs). You will support robust compliance program within BNY Investments. Youll partner closely with business leaders and senior management to ensure policies, controls, and monitoring processes meet all regulatory requirements.
In this role, youll make an impact in the following ways:
- Assist the Chief Compliance Officer in developing investment adviser compliance programs and ensuring compliance with all applicable laws, regulations and industry best practices.
- Develop, review, and enhance policies in accordance with the Investment Advisers Act and other applicable regulations, ensuring alignment with regulatory requirements and industry best practices
- Prepare key regulatory filings
- Prepare compliance risk assessments
- Assist with regulatory examinations and inquiries
To be successful in this role, were seeking the following:
- Bachelors degree; MBA preferred
- Minimum of 10-12 years of experience in a compliance role in the asset management industry, with a focus on the Investment Advisers Act. Alternatives experience a plus.
- Excellent oral and written communication
- Ability to independently analyze complex regulatory and business issues, propose pragmatic solutions, and drive timely execution
- Strong project-management skills and ability to juggle priorities across multiple affiliated lines of business
