BNY Mellon Careers

Compliance Officer I - AMNA

Boston, Massachusetts
Asset Management

Job Description

The CO’s primary responsibility is to support the administration and execution of the Compliance Monitoring & Testing Program for AMNA.  Responsibilities include review and maintenance of firm level compliance policies, updating testing & monitoring scripts and validating controls with control owners.  The incumbent will track compliance deliverables, execute and document assigned monitoring and surveillance activities and be required to meet key deliverables.


Additionally, the incumbent will support client compliance reporting initiatives which include: comprehensive 1940 Act Fund reporting requirements, recurring compliance certifications for institutional separate account and bank collective fund clients, ad hoc compliance reporting to the client consultant universe and support of client audits.


The candidate must be able to:


  • Manage multi-faceted assignments and projects while still maintaining priorities.

  • Assist in remediating identified compliance issues and documenting evidence.

  • Communicate effectively and work collaboratively with business unit teams and management.

  • Develop working relationships with Compliance the team and the Compliance leadership.

  • Comprehend apply the Compliance Program testing methodologies.

  • Maintain and continuously develop knowledge around core products.

  • Be a team player, proactive, adaptable, self-motivated and inquisitive.


The qualified candidate will have a BA/BS degree and 3-5 years of relevant experience, preferably with a compliance or investment operations background within an asset management firm. The candidate must have a firm understanding of security types (stocks, bonds, etc.) and a basic understanding of financial rules and regulations including the 1940 Act.  The candidate must demonstrate strong analytical and problem solving skills and must possess excellent attention to detail.  The candidate must have the ability to organize and prioritize multiple projects.  The candidate must demonstrate excellent oral and written communication skills and confidence interacting with other internal business units.


A firm understanding of both Microsoft Excel and Word is required.  The candidate should have a familiarity with financial information systems such as Factset, Bloomberg and investment accounting solutions.

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark:

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.

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Primary Location: United States-Massachusetts-Boston
Internal Jobcode: 23650
Job: Asset Management
Organization: NA Investment Boutiques-HR13428
Requisition Number: 1801589