Deputy Chief Compliance Officer – Investments and Securities
- Country: United States
- Region: New York
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 over 238 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 Deputy Chief Compliance Officer - Investments and Securities to join our Risk Management team. This role is located in New York, NY - HYBRID.
BNY Mellon Securities Corporation (BNYMSC) and BNY Mellon Investment Adviser, Inc. (BNYMIA) are US-registered investment advisers and BNY Mellon Investment Management Companies. The Deputy Chief Compliance Officer (Deputy CCO) will support the investment advisory compliance programs of both entities.
In this role, you’ll make an impact in the following ways:
Maintaining and filing Form ADV; coordinating completion and filing of Forms PF; maintaining and updating the IA compliance manual.
Managing implementation of new laws, regulations and industry practices; coordinating completion and filing of CFTC and foreign-jurisdiction filings, such as CPO/PQR and Canadian fund filings.
Completing the annual NFA self-assessment and NFA questionnaire; conducting annual Compliance Risk Assessments; performing Rule 206(4)-7 compliance testing.
Supporting new business and product initiatives; developing and delivering compliance-related staff training.
Interfacing and partnering with dedicated Risk, Legal and Internal Audit teams; reviewing RFPS, RFIs and DDQs; conducting presentations to senior management; providing ad hoc interpretive compliance guidance to the business line; proactively assessing potential or required enhancements to policies, procedures or controls.
Coordinating responses to regulatory exams and Internal Audit reviews; and performing similar compliance-related or management tasks.
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.
10-12 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.
Experience managing and directing more junior professionals
At BNY Mellon, our inclusive culture speaks for itself. Here’s a few of our awards:
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’
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 assesses market data to ensure a competitive compensation package for our employees. The base salary for this position is expected to be between $96,000 and $163,000 per year at the commencement of employment. However, base salary if hired will be determined on an individualized basis, including as to experience and market location, and is only part of the BNYM total compensation package, which, depending on the position, may also include commission earnings, discretionary bonuses, short and long-term incentive packages, and Company-sponsored benefit programs.
This position is at-will and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation) at any time, including for reasons related to individual performance, change in geographic location, Company or individual department/team performance, and market factors.
About Us
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.
About the Team
Risk and Compliance provide risk and compliance services across all BNY Mellon businesses. Organizationally, Risk and Compliance includes the following groups: Risk Management, Compliance, Global Corporate Security, Information Risk Management and Global Business Continuity. Risk Management oversees and delivers risk services and ensures new business risks are reviewed and approved. Risk Management is organized through Chief Risk Offices for each core business and critical operation. Risk managers provide shared support to BNY Mellon for operational risk services for Global Corporate Trust, Depositary Receipts, Treasury Services and Global Operations in EMEA. Compliance helps ensure BNY Mellon's businesses maintain appropriate processes to comply with applicable laws, regulations, BNY Mellon policies and ethics. This is accomplished through business- and business partner-specific teams of professionals, under centralized global management.
Reference : Deputy Chief Compliance Officer – Investments and Securities jobs