Compliance Associate

The Compliance Associate is responsible for senior level day-to-day compliance issues within the subsidiary.  Complete all appropriate filing to ensure compliance with federal and state regulatory requirements.  Review fund and client account activity to detect any potential compliance problems.  Advises compliance department management of problem situations and recommends corrective actions.  Reviews new products and marketing, advertising, and communication materials to ensure compliance with regulatory requirements.  Provides requested information to various regulatory agencies.  



Job Requirements
BA/BS degree required; Work towards an advanced degree preferred 5+ years related experience; Solid understanding of compliance in the asset management industry; Excellent communication skills both verbal and written; Ability to work under pressure, prioritize and handle many tasks at once; Must be detail oriented; organized, and have the ability to work both independently and as part of a team. Charles River (CRD) experience is a plus!

 

If you're interested in this position, please send a word.doc version of your resume as well as your salary requirements to scottw@mcm.com and include "Compliance Associate - Mon" in the subject line of your e-mail. 

 

Do not apply for this position unless you have prior asset management compliance (or similar) experience.

 

Mellon Capital Management, a subsidiary of The Bank of New York Mellon, provides global investment solutions designed to meet the objectives of institutional investors - consistent, risk-controlled investment performance.  Since the firm’s inception in 1983, Mellon Capital has steadily built a reputation for excellence in quantitative portfolio management and research. This reputation has attracted quality investment professionals who share the commitment of our firm’s founders to apply sound economic and financial theory to the asset management process. Mellon Capital is composed of energetic, talented professionals with a passion for achieving results for our clients and an unwavering commitment to quality. We endorse a strong belief in work/life balance and foster an environment that draws upon the strengths of each individual to create an atmosphere of personal and professional growth. Together, we build upon a tradition of integrity, teamwork, and excellence. 

 

Benefits
As one of the world's leading financial services organizations, The Bank of New York Mellon recognizes the importance of a competitive benefits plan as part of your total compensation. That's why we offer a comprehensive, customizable benefits program to meet the needs of our diverse workforce. Benefits include high quality medical and dental plans including orthodontic coverage, vision, life and disability insurance, flexible spending accounts, retirement plans that include an attractive 401k match and a company funded pension plan, generous tuition assistance and other work/life programs.

 

Mellon Capital Management is an equal opportunity employee (EOE) and strongly supports diversity in the workforce.