Vice President, ETF Advisor Compliance Job
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Employer: BNY Mellon
SpiderID: 13750579
Location: New York, New York
Posted: 5/20/2024
Wage:
Priority Review Date: 8/18/2024
Job Code / NOC / SOC: 53289
Category: Finance/Investment
Job Description:
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 240 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.
We’re seeking a future team member for the role of VP, ETF ADVISOR COMPLIANCE to join our Investment Management Compliance team. This role is located in New York City, NY - HYBRID.
In this role, you’ll make an impact in the following ways:
Independently contributes to the compliance efforts of multiple assigned business units.
Analyzes existing and proposed legislation, regulatory announcements and industry practices to help the assigned businesses develop and implement procedures to meet existing and upcoming requirements.
Maintains strong working relationships with peer compliance teams, senior management, Legal and Risk
Conducts fund and adviser-related compliance program testing and monitoring; assists with preparation of compliance-related board and business line reporting,
Assists with preparation of regulatory reporting (Form ADV; Form PF; etc.), compliance manual maintenance and marketing material review.
Contributes to the development of projects and programs to improve compliance and enhance the control environment.
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 240 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.
We’re seeking a future team member for the role of VP, ETF ADVISOR COMPLIANCE to join our Investment Management Compliance team. This role is located in New York City, NY - HYBRID.
In this role, you’ll make an impact in the following ways:
Independently contributes to the compliance efforts of multiple assigned business units.
Analyzes existing and proposed legislation, regulatory announcements and industry practices to help the assigned businesses develop and implement procedures to meet existing and upcoming requirements.
Maintains strong working relationships with peer compliance teams, senior management, Legal and Risk
Conducts fund and adviser-related compliance program testing and monitoring; assists with preparation of compliance-related board and business line reporting,
Assists with preparation of regulatory reporting (Form ADV; Form PF; etc.), compliance manual maintenance and marketing material review.
Contributes to the development of projects and programs to improve compliance and enhance the control environment.
Job Requirements:
To be successful in this role, we’re seeking the following:
Bachelor‘s degree or the equivalent combination of education and experience is required.
Business or Finance degree preferred.
7-10 years of total work experience preferred.
Mutual Fund / ETF Compliance and/or Investment Adviser Compliance experience highly preferred.
Bachelor‘s degree or the equivalent combination of education and experience is required.
Business or Finance degree preferred.
7-10 years of total work experience preferred.
Mutual Fund / ETF Compliance and/or Investment Adviser Compliance experience highly preferred.
Job Criteria:
Start Date:
Position Type: Full-Time Permanent
Experience:
Education:
Travel:
Vacation:
Contact Information:
| Contact Name: Kaitlyn McGrath | Type: |
| Company: BNY Mellon | |
| Web Site: https://eofe.fa.us2.oraclecloud.com/hcmUI/CandidateExperience/en/sites/CX_1001/j | |