The incumbent will assist the Compliance Manager with compliance monitoring and reporting for BNY Cash Investment Strategies (CIS), located in Pittsburgh. CIS manages over $100 billion of short duration and index fixed income accounts for institutional clients and is a division of The Dreyfus Corporation.
S/He will be responsible for the day-to-day maintenance and monitoring of client investment guidelines and restrictions as well as interfacing with investment managers on identification and resolution of investment compliance violations. S/He monitors that investment activities of CIS are performed in accordance with policies and procedures and maintain documentation to satisfy regulatory and policy requirements. S/He assists in the coordination with internal and external examiners and auditors. S/He will be responsible for preparing and disseminating compliance reports to internal departments and preparation of compliance reports requested by clients.
BA/BS preferred. 2-5 years of relevant experience. This position requires knowledge of the Financial Services Industry regulations, compliance, operations or auditing. Experience using the Charles River Trading/Compliance system preferred. Knowledge of fixed income securities preferred. Knowledge of investment adviser regulations is a plus. Strong oral and written communication skills and the ability to implement compliance policies and procedures.
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