Compliance Manager II Job

• Company

  BNY Mellon

• Location

  Canada-ON-Toronto

• Remuneration

  Competitive

• Position Type

  Permanent

• Employment type

  Full time

• Updated

  10-Nov-2013

• eFC Ref no

  1297900

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Compliance Manager II (Job Number: 1312897)

Description

Manages specialized compliance efforts for the Company as they relate to complex analytic regulatory requirements, programs and project development. Conducts detailed analysis of existing/proposed regulation, and industry practices within specialty areas of expertise and helps business develop & implement procedures to meet these requirements. Validates specialized control processes to ensure compliance with governing laws and rules. Partners with business managers to respond to findings of regulators and/ or auditors. Will have contact with regulators, government officials, and senior Business managers. Will work with the CCO of 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

MBA, JD degree or professional certification preferred. 10 - 12 years relevant product/financial services and/or auditing or compliance experience preferred. Expertise in particular Financial Services rules and areas of regulation relating to the regulation of asset management and the offering of investment funds in the Canadian provinces. Hand's-on experience as a compliance officer, attorney or other professional in the oversight of Canadian-ruled entities acting as portfolio managers, exempt market dealers and/or investment fund managers for Canadian clients. Excellent problem solving, analytical ability, oral and written communication skills. The ability to resolve stressful situations with internal clients and regulators in a professional manner. Ability to effectively interact with senior/executive management and Regulators. Strong interpersonal and influencing skills to achieve positive outcomes with constituencies over whom the incumbent has no direct authority.

Primary Location: Toronto, Ontario, CA
Internal Jobcode: 23600
Job: Audit/Compliance/Risk
Organization: Compliance & Ethics-HR06015

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