Compliance Specialist, Mutual Fund Marketing Material Review
BNY Mellon Investment Management
September 9, 2019
New York, New York
Primary responsibilities involve reviewing and approving marketingmaterials for investment management products (registered and unregisteredfunds) to ensure compliance with applicable SEC and FINRA regulations. Requires highly technical knowledge of SEC and FINRA Advertising Rules. With minimal guidance, contributes to the compliance efforts of the assigned business units. Helps to bring the business units into compliance with standard regulatory and policy requirements. Helps the business units respond to and develop compliance reporting, as directed. Based on assessments of controls, works with business units to implement improvements and develop documentation when control changes are made.As directed, analyzes existing legislation, regulatory announcements and industry practices in order to ensure the assigned business is in compliance with current requirements.Contributes to projects and program tasks intended to improve compliance and enhance the control environment.Analyzes control processes to ensure they are in compliance with all applicable laws, rules and regulations. Reviews the appropriateness of control processes and may help guide the assigned business units in implementing improvements.Continues to build working relationships with outside regulators, government officials and business unit managers in order to facilitate the timely delivery of information and increase the likelihood of favorable conditions for compliance activities.With minimal guidance, contributes to assessments of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting BNY Mellon businesses. Continues to gain experience preparing risk based reviews of existing and emerging regulatory requirements, concerning issues and control gaps. Contributes to the preparation of time sensitive reporting and appropriately escalates issues to more experienced professionals.No direct reports.Contributes to the achievement of team objectives.
Bachelor's degree or the equivalent combination of education and experience is required. Business or Finance degree preferred. 5-7 years of total work experience preferred. Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans.
Primary Location: United States-New York-New York Internal Jobcode: 85160 Job: Asset Management Organization: IM Infrastructure-HR14826 Requisition Number: 1908496
Internal Number: 6115718
About BNY Mellon Investment Management
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