Specialist, Compliance & Control

Overview
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. Modified based upon local regulations/requirements.
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.
Primary responsibilities involve reviewing and approving marketing materials for mutual funds, private funds, ETFs, separate managed accounts and collective investment trusts, as well as other investment management communications to ensure compliance with applicable FINRA and SEC regulations.
Strong knowledge of FINRA 2210, Investment Company Act and Investment Advisers Act.
Relevant marketing review experience required.
FINRA Series 7 and 24 License is required.
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: bnymellon.com/careers.
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.

Job Type: Full-time