Summary: BNY Mellon Investment Management is one of the world's leading investment management organizations and one of the top U.S. wealth managers. Our business encompasses BNY Mellon's affiliated investment management firms, wealth management organization, and global distribution companies. Our goal is to build and deliver investment and wealth management strategies and solutions to meet our clients' needs.
Drawing on deep expertise, we collaborate with our clients to tailor our best ideas and resources to meet their specific requirements. Through our global network we have developed a significant understanding of local requirements. We pride ourselves on providing dedicated service through our teams.
With extensive experience in anticipating and responding to the investment and financial needs of the world's governments, pension plan sponsors, corporations, foundations, endowments planned giving programs, advisors, intermediaries, individuals and families, and family offices, BNY Mellon Investment Management can help our clients reach their goals.
The Role: Under the direction of the Surveillance Manager, the Junior Surveillance Analyst will be responsible for day-to-day oversight of client investment guidelines including monitoring, rule writing and providing daily exception testing for mutual funds and separate accounts. The individual in this role will work closely with the Surveillance Analyst to develop and maintain a working familiarity with Charles River (trading platform / order management system) in order to enter in and maintaining client account restrictions.
The Junior Surveillance Analyst will interact with the trading desk in addition to various managers, as well as other BNY Mellon internal units on regulatory and compliance matters. He or she will work with other individuals including Relationship manager, trader or portfolio manager to resolve issues and must have excellent communication skills. This position requires an individual who is both self-motivated and detail oriented; a strong communicator who is comfortable interfacing across multiple departments and with individuals at various levels of the organization.
Resolve pre and post trade violations and monitor and review upgrade/downgrade reports
Create and test new rules on Charles River (trading platform / order management system)
Assist in the process of due diligence and regulatory filings
Handle liquidity reviews for potentially illiquid securities
Assist in client reporting and audits
Qualifications Basic Qualifications:
At least 1 year of professional experience in Accounting or Finance
BS/BA Degree preferred
Operational knowledge of Charles River (trading platform / order management system)
2+ years of professional experience in financial services industry
Knowledge of fixed income products
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 & 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.
As one of the world's leading investment management organizations and one of the top U.S. wealth managers, BNY Mellon Investment Management combines agility, insight and scale to create and deliver strategies and solutions to address our clients' needs. Encompassing BNY Mellon's investment management firms, wealth management organization and global distribution teams, we draw on deep expertise to collaborate with clients and tailor our best ideas and resources to meet their specific needs. We pride ourselves on providing dedicated service through our network of global professionals who have a deep understanding of local requirements. With our extensive experience in anticipating and responding to the investment and financial needs of the world's governments, pension plan sponsors, corporations, foundations, endowments, advisors, intermediaries, individuals and families, and family offices, BNY Mellon Investment Management is dedicated to helping clients reach their goals.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans.
Primary Location: United States-Massachusetts-Everett Internal Jobcode: 31062 Job: Asset Management Organization: IM Infrastructure-HR14826 Requisition Number: 1703577