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The position will be a Compliance Officer in the Fund Chief Compliance Officer Group which supports the Dreyfus Fund Chief Compliance Officer in conjunction with maintenance of a Compliance Program to satisfy SEC Rule 38a-1 of the Investment Company Act.
Assist in analysis of Fund Service Providers' Compliance Programs:
Perform reviews of Service Provider policies and procedures (20%)
On-Site due diligence of Service Provider procedures (20%)
Assist in review of compliance reports, questionnaires, certifications and other documents received from Service Providers (20%)
Perform periodic risk and compliance assessments of policies and procedures (20%)
Perform testing procedures (10%)
Maintain due diligence documentation for group (10%)
At least 5-7 years of compliance or related experience. JD, CPA or CFA a plus.
Previous compliance experience working for a Fund CCO preferable.
Previous experience performing due diligence of investment advisers a plus.
Previous compliance or operational experience at a registered investment adviser acceptable.
Experience in internal audit at financial services firm a plus if in combination with above compliance experience.
Knowledge of SEC regulation of investment advisers and investment companies with strong understanding of mutual funds.
Ability to interface effectively with other Dreyfus business groups, BNY Mellon Legal, Investment Managers and other Service Providers.
A proactive, self-starter work style and able to interact with people with varied personalities and work styles.
Candidate must have excellent written, oral and presentation skills
Candidate must have strong PC skills (Office)
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans.
Primary Location: United States-New York-New York Internal Jobcode: 23640 Job: Compliance Organization: IM Infrastructure-HR14826 Requisition Number: 1818271
Internal Number: 5649379
About BNY Mellon Investment Management
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