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Investment Management Compliance
4 months ago
**Overview Of BNY Mellon**:
The key purpose of this position is to provide support to the review and approval of financial promotions, provision of advisory support to the Distribution & Marketing teams and oversight of business functions on compliance matters relating to distribution activities within Europe, the Middle East and Africa (EMEA) and Latin America regions.
The role resides within the dedicated Compliance function supporting the centralised distribution and fund management business lines within the BNY Mellon Investment Management organisation which operates through BNY Mellon Investment Management EMEA Limited (“IM EMEA”) in the UK and its fund management subsidiaries in the UK and Luxembourg. IM EMEA also has representatives conducting distribution activities within Dubai, UAE and a subsidiary company in Switzerland . Distribution activities within the EU/EEA are conducted through branches of the Luxembourg subsidiary in France (Paris), Germany (Frankfurt), Italy (Milan), the Netherlands (Amsterdam), Spain (Madrid) and Sweden (Stockholm).
The IM EMEA Risk & Compliance function is comprised of 11 individuals based in the UK, primarily within the head office in London, and 3 individuals based in Luxembourg. This role may (where possible) involve support to monitoring activities conducted in accordance with BNY Mellon’s global compliance testing methodology.
**Responsibilities**:
- To work as part of a team of three individuals dedicated to the review and approval of financial promotions relating to investment capabilities and strategies of the BNY Mellon Investment Management firms and products, both undertakings for collective investment in transferable securities (UCITS) and Alternative Investment Funds (AIFs) domiciled in the UK, Ireland and Luxembourg.
- Review and approve financial promotions for both retail and professional clients to ensure compliance with the FCA financial promotion rules and the laws and regulations in other jurisdictions, ensuring pro-active management of workflow, co-ordinating effectively with other members of the Compliance team and business partners in the Marketing function.
- Provide compliance advisory support in respect of distribution activities within the EMEA and Latin America regions, including provision of timely and accurate compliance advice to business partners on local laws and regulations relating to marketing of investment products and services in each relevant jurisdiction.
- Provide input to development of training materials and delivery of training to business partners.
- To assist with the maintenance of compliance standards manuals, procedures and other guidance materials.
- To assist (where possible) the development and execution of a business-wide compliance programme to facilitate monitoring of the adequacy and effectiveness of policies and procedures implemented by the business.
- To maintain awareness of the applicable regulatory landscape, identifying and researching relevant laws, regulations and guidance as necessary to assist with reviews, responding to queries and development of guidance and training documents.
- To engage with business initiatives and projects requiring Compliance input and compliance-originated projects related to regulatory developments and/or changes to compliance policies and procedures.
Competencies & Experience
- Strong interpersonal and communication skills (oral and written)
- Attention to detail and ability to work to tight deadlines
- A strong team player and self-motivated
- Ability to work effectively under pressure and to tight deadline
- Must be capable of exercising sound judgement and good decision-making in managing risk
- Good organisational skills and self-discipline in managing priorities
- Prior experience working with financial promotions and knowledge of the UK rules and guidance in COBS and PERG is desirable.
- Previous exposure to the rules and guidance in other European jurisdictions would also be beneficial.
- Prior experience working within the financial services industry would be advantageous, particularly within an asset management firm or fund service provider.
- Language skills, in particular French, German, Italian or Spanish would be advantageous.
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 well-being and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
**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.
