Jr. Surveillance Analyst
Jr. Surveillance Analyst - Asset Management Operations (Job Number: 1308292)
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
Responsible for day-to-day oversight of client investment guidelines including monitoring and rule writing and providing daily exception testing for mutual funds and separate accounts. Will work closely with the Surveillance Analyst to develop and maintain a working familiarity with Charles River. Incumbent will be responsible for entering and maintaining client account restrictions on Charles River, resolve pre and post trade violations and monitor and review upgrade/downgrade reports under the guidance of the Surveillance Analyst. Incumbent will also be responsible for creating and testing new rules on Charles River. S/He will assist in the process of due diligence and regulatory filings (e.g.13dfg). S/He will handle liquidity reviews for potentially illiquid securities. In addition, other responsibilities include, but are not limited completing client reporting and assisting in audits. This position requires significant interaction with the trading desk in addition to various managers, as well as other BNY Mellon internal units on regulatory and compliance matters. Employee should have a general understanding of the products and strategies that Standish manages. They should have knowledge of fixed income products and general knowledge of the financial industry. Employees are asked on a daily basis to research potential investment guidelines violation to determine if an actual violation occurred. Employee must be able perform research by reviewing client guidelines, holding data and security level data to determine if an error has occurred. Employee must be able to work with other individuals including Relationship manager, trader or portfolio manager to resolve issues. The employee s job is very important to the business. Standish heavily relies on the investment guidelines to be correctly inputted into Charles River system. If mistakes are made it could cause costly trade mistakes and impact our clients. Employee will interact with internal parties (relationship managers, traders, portfolio managers).
Qualifications
Employee must be able to communicate effectively face to face. Employees must be strong to be able to present the facts and not persuaded to do something that would not be in the best interest of the client or Standish. BS/BA. 0-2 years experience. 2 years preferred.
Primary Location: United States-USA-MA-Boston
Internal Jobcode: 31062
Job: Investment Management
Organization: FICAM-HR07404
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