BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 35 countries. As of March 31, 2020, BNY Mellon had $41.7 trillion in assets under custody and/or administration, and $2.2 trillion in assets under management. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation (NYSE: BK). Additional information is available on www.bnymellon.com. Follow us on Twitter @BNYMellon or visit our newsroom at www.bnymellon.com/newsroom for the latest company news. Role description and opportunities: The ideal candidate has experience in Compliance at a financial services institution, with emphasis on FINRA rules and regulations. The individual must be able to develop and maintain key client relationships with business partners and supporting areas. Must be able to learn new processes and regulations effectively and quickly and identify existing and emerging risks. Candidate must possess excellent problem solving, analytical ability, interpersonal and written communication skills. Ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving. Ability to effectively deal with senior management. Responsibilities Provide day to day advice and guidance on broker-dealer rules and regulations as well as operational processes to business partners. Draft/review policies and procedures related to broker-dealer business initiatives Analyze regulatory announcements and proposed regulations and industry practices Manage all requests for information from regulatory agencies including FINRA and SEC, as well as supervise other Compliance Officers supporting regulatory inquiries Lead coordinator with regulators on examinations Partner with business to respond to exam reports issued by regulatory agencies, audit and compliance testing Review marketing materials including RFPs Maintaining an awareness of and monitor the regulatory environment for emerging regulation, relevant trends and industry best practices through review of publications, participation in industry associations, contact with regulators, and liaison with counsel and auditors. Compliance Projects/Initiatives Qualifications A successful candidate should ideally have these qualifications: Bachelor’s degree in a business-related discipline, Graduate degree preferred. Minimum of 10 years relevant experience. Compliance Officers at this level will be expected to exercise good judgment and work independently. Experience in a complex, regulated environment preferred. Series 7 & 24 required. 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. Primary Location: United States-New Jersey-Jersey City Internal Jobcode: 85162 Job: Risk Organization: Compliance-HR06015 Requisition Number: 2116971