Senior Compliance Officer Job
Senior Compliance Officer (Job Number: 1309043)
Description
The Senior Compliance Officer will work with the CCO to manage all aspects of the firm s investment advisory compliance program. He/she will assist in the oversight of all aspects of an investment advisory compliance program, including: assessing inherent risks and conflicts of interests; developing and implementing policies and procedures reasonably designed to prevent violations of federal securities laws and to address risks and conflicts of interest; developing and implementing transactional, periodic, and forensic testing programs to assess the adequacy of the firm s policies and procedures; performing compliance testing; assisting the firm in implementing corrective actions as identified by the testing programs; recommending enhancements to all facets of the business; assisting with the development of compliance training programs; ensuring timely and accurate regulatory reporting; and managing regulatory and sweep examinations. He/she will participate as needed in various committee meetings such as Fair Valuation, Brokerage, and Allocations, liaise with the investment professionals and support departments to resolve pending matters, liaise with BNY Mellon Asset Management and various BNY Mellon Corporation divisions to ensure implementation of corporate polices and liaise with BNY Mellon Asset Management Legal Department regarding the interpretation and implementation of complex regulations. Other responsibilities include responding to internal audits of compliance functions, participating as needed in new business presentations or investor due diligence meetings and other ad hoc projects as needed.
Qualifications
Bachelor's Degree. JD preferred. 5 years of experience. 5 - 10 years preferred.
EFC:AM
Primary Location: United States-USA-NY-New York
Internal Jobcode: 32517
Job: Audit/Compliance/Risk
Organization: Alcentra Inc-HR06156
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