- Assist with preparation and completion of reports filed with regulatory agencies such as the SEC and NFA..
- Assist the Anti-Money Laundering Officer in all aspects of the Anti-Money Laundering program such as onboarding, ongoing monitoring, training, reporting and other items required under the program.
- Assist in the review of the firm's marketing collateral in accordance with SEC, NFA, OCC and other regulatory requirements
- Review and maintain existing desk procedures and assist in developing new procedures as necessary.
- Ad hoc projects on an as needed basis.
- Bachelor's degree or the equivalent combination of education and experience is required.
- A minimum of 5-7 years of relevant Compliance experience, preferably at an asset management, or experience with financial services or audit experience
- AML/KYC related experience
- Knowledge of the federal securities laws, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and ERISA.
- Experience in regulatory filings, such as SEC and NFA.
- The ability to demonstrate strong analytical and problem-solving skills and possess excellent attention to detail.
- Able to work independently and in a team environment.
- Fortune World's Most Admired Companies & Top 20 for Diversity and Inclusion
- Bloomberg's Gender Equality Index (GEI)
- Best Places to Work for Disability Inclusion , Disability: IN - 100% score
- 100 Best Workplaces for Innovators, Fast Company
- Human Rights Campaign Foundation, 100% score Corporate Equality Index
- CDP's Climate Change 'A List'
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Vice President, Regulatory Oversight Management I - Pittsburgh, United States - BNY Mellon
Description
OverviewBring 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 over 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.
Mellon Investments Corporation (MIC) is one of BNY Mellon Investment Management's largest investment firms. MIC is composed of two divisions: Mellon, which specializes in index management, and Dreyfus, which specializes in cash management and ultra short strategies. Mellon is a global leader in index management. Our dedication to precision and partnership goes beyond the benchmark. Dreyfus is one of the largest, most trusted cash and liquidity managers in the industry. Our strategies span all major asset classes, including prime, Treasury, US government, municipals and short duration fixed income. Our capabilities are designed to meet clients' operating, core and strategic cash needs, with several vehicle types including domestic and offshore money market funds, separately managed accounts and a sub-advised ultra short exchange-traded fund (ETF). With nearly 50 years of history building innovative liquidity solutions, we are committed to building powerful, lasting solutions designed to meet the financial goals of our clients.
We're seeking a future team member for the role of Compliance Officer to join our Compliance team. This role is located in Pittsburgh, PA. The role is a hybrid role, with 3 days in the office. #LI-Hybrid
In this role, you'll make an impact in the following ways:
To be successful in this role, we're seeking the following:
At BNY Mellon, our inclusive culture speaks for itself. Here's a few of our awards:
Our Benefits:
BNY Mellon offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life's journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves that can support you and your family through moments that matter.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans.
Our ambition is to build the best global team - one that is representative and inclusive of the diverse talent, clients and communities we work with and serve - and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
Employer Description:
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 and 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:
EEO Statement:
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans. Our ambition is to build the best global team - one that is representative and inclusive of the diverse talent, clients and communities we work with and serve - and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
