BNY Mellon Compliance Officer I in Toronto, Canada

Manages specialized compliance efforts for the Company as they relate to analytic regulatory requirements, programs and project development. Analyzes existing/proposed regulation and industry practices within the specialty areas of asset management, investment fund management and exempt market dealing legislation and helps business develop & implement procedures to meet these requirements. Validates controls or project plans to ensure compliance with laws, rules and regulations. Collaborates with business managers in responding to regulatory and/or audit findings. Acts as a subject matter expert for non-Canadian based investment advisers and broker/dealers which have dealings in Canadian provinces and/or territories. Will have contact with regulators, government officials, and senior Business managers. Will work with the CCO of a Canadian Portfolio Manager, Exempt Market Dealer, Investment Fund Manager and Commodities Trading Manager to create and maintain a compliance program for an internationally – based group of institutional asset managers doing business in Canada.

Qualifications

BA/BS, MBA or professional certification preferred. 3-5 years relevant product/financial services and/or auditing or compliance experience preferred. Thorough knowledge of Financial Services rules and regulations. Demonstrated problem solving and analytical ability, and strong oral and written communication skills.


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: bnymellon.com/careers.

Risk and Compliance provide risk and compliance services across all BNY Mellon businesses. Organizationally, Risk and Compliance includes the following groups: Risk Management, Compliance, Global Corporate Security, Information Risk Management and Global Business Continuity. Risk Management oversees and delivers risk services and ensures new business risks are reviewed and approved. Risk Management is organized through Chief Risk Offices for each core business and critical operation. Risk managers provide shared support to BNY Mellon for operational risk services for Global Corporate Trust, Depositary Receipts, Treasury Services and Global Operations in EMEA. Compliance helps ensure BNY Mellon's businesses maintain appropriate processes to comply with applicable laws, regulations, BNY Mellon policies and ethics. This is accomplished through business- and business partner-specific teams of professionals, under centralized global management.

BNY Mellon is an Equal Employment Opportunity Employer.

  • Primary Location:* Canada-Ontario-Toronto

  • Job:* Audit/Compliance/Risk

  • Internal Jobcode:* 23650

  • Organization:* Compliance & Ethics-HR06015

  • Requisition Number:* 1612545

Category: Audit/Compliance/Risk