What are the responsibilities and job description for the Senior Vice President, Compliance & Control (Investments Compliance) position at BNY External Career Site?
We’re seeking a future team member for the role of Senior Vice President, Compliance and Control to join our BNY Investments team. This role is located in Boston
This role will support multiple affiliated SEC Registered Investment Advisers (RIAs). You will support robust compliance program within BNY Investments. You’ll partner closely with business leaders and senior management to ensure policies, controls, and monitoring processes meet all regulatory requirements.
In this role, you’ll make an impact in the following ways:
- Assist the Chief Compliance Officer in developing investment adviser compliance programs and ensuring compliance with all applicable laws, regulations and industry best practices.
- 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
- Prepare compliance risk assessments
- Assist with regulatory examinations and inquiries
To be successful in this role, we’re seeking the following:
- Bachelor’s degree; MBA preferred
- Minimum of 10-12 years of experience in a compliance role in the asset management industry, with a focus on the Investment Advisers Act. Alternatives experience a plus.
- Excellent oral and written communication
- 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