Analysis Skills, Artificial Intelligence (AI), Asset Management, Best Practices, Business Administration, Financial Services, Financial Systems, Global Financial Markets, Investment Services, Maintain Compliance, Multitasking, Presentation/Verbal Skills, Project/Program Management, Registered Investment Advisor (RIA), Regulations, Regulatory Compliance, Regulatory Requirements, Regulatory Submissions, Risk Analysis, Securities and Exchange Commission (SEC), Time Management, Writing Skills
Were seeking a future team member for the role of Senior Vice President, Compliance and Control to join our BNY Investments team. This role is located in Boston
This role will support multiple affiliated SEC Registered Investment Advisers (RIAs). You will support robust compliance program within BNY Investments. Youll partner closely with business leaders and senior management to ensure policies, controls, and monitoring processes meet all regulatory requirements.
In this role, youll make an impact in the following ways:
- Assist the Chief Compliance Officer in developing investment adviser compliance programs and ensuring compliance with all applicable laws, regulations and industry best practices.
- Develop, review, and enhance policies in accordance with the Investment Advisers Act and other applicable regulations, ensuring alignment with regulatory requirements and industry best practices
- Prepare key regulatory filings
- Prepare compliance risk assessments
- Assist with regulatory examinations and inquiries
To be successful in this role, were seeking the following:
- Bachelors degree; MBA preferred
- Minimum of 10-12 years of experience in a compliance role in the asset management industry, with a focus on the Investment Advisers Act. Alternatives experience a plus.
- Excellent oral and written communication
- Ability to independently analyze complex regulatory and business issues, propose pragmatic solutions, and drive timely execution
- Strong project-management skills and ability to juggle priorities across multiple affiliated lines of business
At BNY, our culture allows us to run our company better and enables employees growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the worlds investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.
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The Bank of New York Mellon Corp