Compliance Manager - Investment Management

Posted 6 April by BNY Mellon Featured

Committee Membership:

Represents the Compliance Department on committees as appropriate including deputising for the EMEA & LatAm Head of Risk & Compliance

Job Purpose:

To help ensure:

  • Technical compliance support/advice is provided
  • Compliance programs are completed
  • Adherence by the various businesses to regulatory expectations and corporate policy standards


BNYM EMEA Asset Management is a multi-boutique organization which comprises 7 primary Asset Management businesses, 6 in the UK and 1 in Brazil. Each business has its own integrated Compliance team (including in the UK a CF10) which is primarily responsible for its compliance arrangements.

  • Although primary responsibility for compliance rests with each boutique, this job holder is responsible for helping to oversee and support those Boutique Compliance functions. The role holder will support the EMEA & LatAm Head of compliance with:
  • Understanding the status of Compliance issues within each business;
  • Helping to ensure monitoring programs within Boutiques are completed and to oversee the Boutique based monitoring programs.
  • Provision of technical/advisory compliance support (both in relation to cross Boutique issues and Boutique specific issues)
  • Understanding regulatory developments and helping to ensure Boutique understanding and implementation of new requirements
  • Monitoring and reporting of Boutique Compliance issues and progress
  • Reporting to Senior Management on Compliance topics including written briefings and presentations.
  • Provision of MI.
  • Planning for and responding to Regulatory visits/requests.
  • Working with the wider BNYM compliance function as necessary to align expectations and policy requirements.
  • Participating in Investment Management and Global BNYM compliance initiatives.


  • Degree educated or equivalent
  • Financial Services, Compliance background and experience with financial services compliance
  • Experience with the business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.

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: 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: United Kingdom-Greater London-London
Job: Compliance
Internal Jobcode: 85166
Organization: Compliance & Ethics-HR06015
Requisition Number: 1804393

Reference: 34851558

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