AMI Assistant Compliance Manager Job

AMI Assistant Compliance Manager (Job Number: 1309877)

BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 36 countries and more than 100 markets. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. Additional information is available at www.bnymellon.com.

As one of the world's leading investment management organizations and one of the top U.S. wealth managers, BNY Mellon Investment Management combines agility, insight and scale to create and deliver strategies and solutions to address our clients' needs. Encompassing BNY Mellon's investment management firms, wealth management organization and global distribution teams, we draw on deep expertise to collaborate with clients and tailor our best ideas and resources to meet their specific needs. We pride ourselves on providing dedicated service through our network of global professionals who have a deep understanding of local requirements.

With our extensive experience in anticipating and responding to the investment and financial needs of the world's governments, pension plan sponsors, corporations, foundations, endowments, advisors, intermediaries, individuals and families, and family offices, BNY Mellon Investment Management is dedicated to helping clients reach their goals.

Description

Asset Management International (AMI) is a London-based UK asset management subsidiary of The Bank of New York Mellon Corporation. AMI's dedicated professionals provide world class, multi-lingual Sales, Marketing and Client Service to investor s which include some of the world's largest pension funds and institutions, local authorities, treasuries and family offices.

Background

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Assist in oversight of investment managers, primarily those within the BNY Mellon Group to whom portfolio management has been delegated in relation to BNYM's Irish and UK domiciled fund ranges as well as segregated portfolios.

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General compliance duties, including maintenance of the Compliance Manual, compliance policies and procedures, individual registrations, monitoring personal account dealing and co-ordinating compliance contribution to internal governance committees.

Responsibilities

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Assisting the Senior Compliance Manager in the oversight of investment managers and other monitoring activities as required.

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Must be willing to travel to the East and West coast of America and Latin America to undertake onsite reviews of boutiques.

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Taking lead on the co-ordination, tracking, initial analysis of the investment manager's quarterly due diligence questionnaires.

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Keeping abreast of, and being involved in AMI's process of on-boarding and delegation of client segregated mandates and funds to investment managers, through to the cessation of these delegated activities, including assisting in the review of all relevant legal agreements.

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Review of investment management breaches including remediation of events, enhancements to control framework and trend analysis.

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Responsible for maintaining policies and procedures in respect of Personal Account dealing process for the relevant AMI employees and maintaining the Restricted List.

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Co-ordinate compliance contribution to internal governance committees including the EMEA Risk and Compliance Committees (RCC) and the AMI Investment Management Oversight Committee (IMOC).

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Co-ordinating individual registrations for the UK Irish regulated entities.

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Providing compliance assistance and input as required in any project work, including product development and implementation of regulatory change.

Qualifications

Qualifications and Experience

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A level or Degree level preferable.

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Previous experience in compliance monitoring roles would be advantageous ideally including investment guidelines and Conduct of Business rules.

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Experience of compliance procedures and practices gained from previous roles.

Primary Location: United Kingdom-United Kingdom-Greater London-London
Internal Jobcode: 50347
Job: Audit/Compliance/Risk
Organization: BNYMAM International-HR06161

July 20, 2013 • Tags: , • Posted in: Financial

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