BNY · 1 week ago
Director, Investments Compliance
New York, NY
Full-time
Onsite
Director/Executive
$127K/yr - $212K/yr
15+ years expBNY is a leading global financial services company, and they are seeking a Director, Compliance and Control to join their Investments team. This role involves supporting compliance programs, acting as a strategic advisor, and ensuring adherence to regulatory requirements within the investment adviser landscape.
Financial Services
Responsibilities
Assist the Chief Compliance Officer in developing and managing investment adviser compliance programs and ensuring compliance with all applicable laws, regulations and industry best practices
Act as a strategic advisor and subject-matter expert to business partners (investment teams, product development, legal, operations, distribution) in support of new business initiatives and/or new products
Promote a compliance-oriented culture within investment and product functions: act as a trusted advisor, drive awareness of compliance obligations, assist the business in integrating compliance viewpoint early in product and business development, and foster a proactive control mindset rather than reactive issue resolution
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
Oversee compliance risk assessments
Assist with regulatory examinations and inquiries
Qualification
Required
Bachelor's degree
Minimum of 15 years of experience in a compliance role in the asset management industry, with a focus on the Investment Advisers Act
Excellent oral and written communication; comfortable presenting to clients, senior executives and regulators
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
Preferred
MBA preferred
Alternatives experience a plus
Benefits
Generous paid leaves, including paid volunteer time
Flexible global resources and tools for your life’s journey
Company
BNY
For more than 240 years BNY has partnered alongside clients, using its expertise and platforms to help them operate more efficiently and accelerate growth.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Brian A. Ruane
CEO Government Securities Services & Global Client Management
Chris Kearns
CEO, Depositary Receipts
Recent News
PR Newswire
2024-11-01
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