Manages compliance efforts for the Company as they relate to complex regulatory and policy requirements, program and project development. Analyzes existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedures to meet these requirements. Manages control process validation to ensure compliance with laws, rules and regulations. Partners with business unit managers to respond to reports issued by regulatory agencies or audit. May manage small team of Compliance Analysts. Will maintain contact with regulators, government officials, and senior Business Unit managers.
MBA, JD degree or professional certification preferred. 15+ years relevant product/financial services and/or auditing or compliance experience preferred. Experience as the Chief Compliance Officer of an RIA is preferred. Thorough knowledge of Financial Services rules and regulations. Solid understanding of Enterprise Compliance Risk Management and best practices. Excellent problem solving, analytical ability, oral and written communication skills. The ability to manage stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving. Ability to effectively communicate with senior management and Regulators. Strong interpersonal skills to influence and impact business decisions over which the incumbent has no direct authority.
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: 23590 Job: Wealth Management Organization: WM Investments-HR13350 Requisition Number: 1903799
Internal Number: 5857950
About BNY Mellon Investment Management
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