Senior Portfolio Compliance Analyst overseeing investment guideline compliance at BNY. Collaborating with clients and teams to ensure adherence to regulations and best practices.
Responsibilities
Assist in the oversight of the investment guideline compliance program for BNY Mellon Investments
Monitor pre- and post-trade violations generated from the compliance system, as well as properly code, test, and troubleshoot restrictions and guidelines.
Coordinate and/or communicate with clients, portfolio management, traders, operations and data team to resolve issues.
Support the onboarding process for new client accounts, review and perform updates to client guidelines, including regulatory rules in connection with sub-advised registered funds, and process client restricted lists.
Work on various projects involving various compliance related matters independently as well as with other members of the group.
Requirements
A minimum of 5+ years of relevant portfolio compliance experience.
A BA/BS, MBA, CFA or equivalent
A broad understanding of different asset classes and knowledge of securities laws including the 1940 ACT, UCITs, and ERISA.
The ability to demonstrate strong analytical and problem-solving skills and possess excellent attention to detail.
Excellent oral and written communication skills and confidence in interacting with other internal business units.
The ability to handle stressful situations with internal clients, while maintaining a professional approach to problem solving.
Experience using Blackrock Aladdin is a plus.
A willingness to provide support for evening trading hours on a rotational basis (1-2 days a week)
Benefits
Highly competitive compensation
Flexible global resources and tools for life’s journey
Focus on health
Generous paid leaves including paid volunteer time
Participate in GE HealthCare's Finance Management Program for future finance leaders. Gain hands - on experience across corporate finance areas with formal training and mentorship.
FP&A Analyst at GE HealthCare leading financial planning and analysis with focus on cost management. Conducting budgeting, forecasting, and financial reporting supporting strategic decision - making.
Associate Dean overseeing financial operations and strategic planning at Emory University's School of Nursing. Directing annual budget and fiscal affairs with responsibilities in all non - academic business activities.
Finance Administrator supporting the financial operations by processing invoices and resolving queries at Aurora Group. Assisting in financial reconciliations and collaborating with departments for payment issues.
Administrative intern handling financial tasks like invoicing and client relationships at EVT. Looking for students pursuing business management degrees for a hybrid role.
Financial Trainer specializing in small business and consumer credit for Fitch Learning. Designing training programs to enhance client decision - making and risk management skills.
Financial Trainer specializing in small business and consumer credit at Fitch Learning. Designing and delivering high - quality training programs for banks and financial institutions.
Financial Trainer delivering wealth management training across various platforms. Engaging clients through in - depth training experiences while enhancing course materials and supporting business development.
Business Finance Manager managing financial strategies and performance analysis for SEAT/APAC region at KARL STORZ. Build strategic partnerships and lead financial planning initiatives for the organization.