Who we are: 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. Senior Compliance Officer, Mellon Investments Corporation The Senior Compliance Officer will primarily be responsible for managing all aspects of both internal and external audits for Mellon Investments Corporation. The Senior Compliance Officer will also support the Firm’s 206(4)-7 monitoring and testing program. Responsibilities include: Independently manage internal audits, SSAE 18 (SOC 1) Control Reports and certain regulatory exams Manage audit partner expectations with respect to timing, scope and breadth of exams; Manage document requests and related deliverables through multiple business stakeholders; Foster professional and productive relationships with audit staff to ensure timely and successful completion of examinations and targeted reviews; Ensure all open issues and remediation plans identified in audits are tracked and closed within target dates agreed upon with responsible individuals; Develop and implement compliance testing programs to assess the adequacy of the firm’s policies and procedures Qualifications Job qualifications: Bachelor’s degree or the equivalent combination of education and experience is required. MBA or professional certification preferred. 10-15 years of total work experience, with 1-3 years of management experience, preferred. Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred. Demonstrated ability to work effectively with a wide variety of individuals throughout the organization, including senior management and investment professionals. Excellent organizational, analytical skills and strong attention to detail. A high proficiency level in Microsoft Excel, demonstrated analytical abilities, strong verbal and written communication skills are desired Experience in an audit environment or in an audit support capacity for internal audit, SOC 1 (SSAE 18) or regulatory exams is a plus. 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-Massachusetts-Boston Internal Jobcode: 85167 Job: Risk Organization: Mellon With TOH ADJ-HR13428 Requisition Number: 2117090