This includes interfacing with internal and external auditors, regulatory examiners, BNYM Risk & Compliance Officers, clients and MCM department managers and staff. 

Job Responsibilities

• Keeping knowledge of the various laws, rules, and regulations governing MCM, its products and its clients such as Investment Advisers Act of 1940 and Investment Company Act of 1940.

• Keeping knowledge of policies and procedures of MCM and The Bank of New York Mellon. 

• Performing compliance audits across various departments/processes within the firm by designing and implementing compliance testing strategies and methodologies and conducting testing activities.

• Understanding of registration requirements and timely filings/renewal of registrations and regulatory reports in states and countries where MCM is registered.

• Coordinating various audits, including the SEC audit, BNY Mellon audits, SAS 70 audit, DRS audit, and client due diligence meetings.

• Responding to inquiries from clients, employees and other MCM affiliates regarding compliance and related issues.

• Reviewing marketing, advertising, and communication materials to ensure compliance with regulatory requirements.

• Responsibility for the Code of Ethics, which includes the Code of Conduct and the Personal Securities Trading Policy.

• Effectively assessing/identifying potential issues and risk to the organization in performing day-to-day tasks.

• Effectively communicating or presenting compliance issues to clients and firm personnel.

• Performing ad hoc projects.

• Provide training to Compliance Associate and Junior Compliance Associate.

Minimum Experience, Skills, Certification, or Academic Background Required

• BA/BS Degree required plus 5+ years work experience in regulatory compliance, legal, audit, or operations. Previous compliance background from investment advisory firm is preferred.

• Knowledge of relevant laws, rules, and regulations such as the Investment Advisors Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, National Futures Association (NFA) By-Laws and Rules .

• Strong attention to detail.

• Exceptional analytical skills.

• Excellent verbal and written communication skills.

• Understanding of MCM products/services or similar products/services helpful.

If you want to apply to this role, please visit www.bymellon.com/careers and apply to position # 0904240.

Mellon Capital Management, a subsidiary of The Bank of New York Mellon, provides global investment solutions designed to meet the objectives of institutional investors - consistent, risk-controlled investment performance.  Since the firm’s inception in 1983, Mellon Capital has steadily built a reputation for excellence in quantitative portfolio management and research. This reputation has attracted quality investment professionals who share the commitment of our firm’s founders to apply sound economic and financial theory to the asset management process. Mellon Capital is composed of energetic, talented professionals with a passion for achieving results for our clients and an unwavering commitment to quality. We endorse a strong belief in work/life balance and foster an environment that draws upon the strengths of each individual to create an atmosphere of personal and professional growth. Together, we build upon a tradition of integrity, teamwork, and excellence. 

As one of the world's leading financial services organizations, The Bank of New York Mellon recognizes the importance of a competitive benefits plan as part of your total compensation. That's why we offer a comprehensive, customizable benefits program to meet the needs of our diverse workforce. Benefits include high quality medical and dental plans including orthodontic coverage, vision, life and disability insurance, flexible spending accounts, retirement plans that include an attractive 401k match and a company funded pension plan, generous tuition assistance and other work/life programs. 

The Bank of New York Mellon is committed to Equal Employment Opportunity in providing all individuals interested in expressing interest in employment with us the opportunity to participate without barriers.