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25 Jul 2022
Full-Time Mellon – Dreyfus Portfolio Compliance Specialist
Job Description
Responsibilities:
- The Portfolio Compliance Specialist will assist in the oversight of the investment guideline compliance program for Mellon Investments Corporation.
- This includes monitoring pre- and post-trade violations generated from the compliance system, as well as properly code, test, and troubleshoot restrictions and guidelines.
- The qualified candidate will coordinate and communicated with clients, portfolio management, traders, operations, and data team to resolve issues.
- The candidate will also support the onboarding process for new client accounts, review and perform updates to client guidelines, including Prospectus and SAI updates for sub-advised mutual funds, and process updates to client restricted lists.
- He or she will work on various projects involving various compliance related matters independently as well as with other members of the group.
- The incumbent will report directly to the Director, Portfolio Compliance Manger of Mellon Investments Corporation located in San Francisco, CA.
Qualifications:
- The qualified candidate will have a BA/BS, MBA, CFA or equivalent and minimum 5+ years of relevant portfolio compliance experience.
- The candidate must experience using Blackrock Aladdin.
- The candidate should have a broad understanding of different asset classes and knowledge of securities laws including the 1940 ACT, UCITs, and ERISA. Experience with Rule 2a-7 is a plus.
- The candidate must demonstrate strong analytical and problem-solving skills and must possess excellent attention to detail.
- The candidate must have the ability to handle stressful situations with internal clients, while maintaining a professional approach to problem solving.
- The candidate must demonstrate excellent oral and written communication skills and confidence interacting with other internal business units.
- Candidate must be willing to provide support for evening trading hours.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals with Disabilities/Protected Veterans.
Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients, and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
How to Apply
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