Compliance Manager II Job
Compliance Manager II (Job Number: 1303812)
Description
This position will be dedicated to the oversight of adviser compliance for MBSC, a registered investment adviser.
Responsibilities will include:
· Developing and maintaining Compliance Program for MBSC consisting of:
-Policies and Procedures adequate to prevent violations of federal securities law
-Procedures adequate to comply with BNY Mellon corporate policies
- Testing Program to assess compliance with policies and procedures
-Formal written annual review of the Compliance Program for MBSC in accordance with SEC Rule 206(4)-7
· Providing support to MBSC in connection with:
- New business (contracts, SLAs, etc.)
- Internal audits
- Interfacing with BNY Mellon Legal in the analysis and interpretation of applicable laws and regulations
- Developing and maintaining conflict and compliance risk assessments
- Preparing, maintaining and filing the firm's Form ADV
- Responsible for all aspects of SEC examinations for MBSC and maintaining records in accordance with SEC requirements
Qualifications
MBA, JD degree or professional certification preferred. 10 - 12 years relevant product/financial services and/or auditing or compliance experience preferred. Expertise in particular Financial Services rules and areas of regulation. Thorough understanding of Enterprise Compliance Risk Management and best practices. Excellent problem solving, analytical ability, oral and written communication skills. The ability to resolve stressful situations with internal clients and regulators in a professional manner. Ability to effectively interact with senior/executive management and Regulators. Strong interpersonal and influencing skills to achieve positive outcomes with constituencies over whom the incumbent has no direct authority.
EFC:AM
Primary Location: United States-USA-NY-New York
Internal Jobcode: 23600
Job: Audit/Compliance/Risk
Organization: Dreyfus-HR06163
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