Fund Compliance Manager
## Primary
Responsibilities:
Routinely monitor all investment portfolios to ensure continuous compliance with mandates, including asset type restrictions, concentration limits, leverage controls, and issuer exposure limits. Proactively communicate with the CCO regarding any compliance matters that arise and work with the CCO to develop solutions. Own the daily monitoring, research, and resolution of BNY-provided Compliance Issues Logs, requiring consultation with the CCO, Portfolio Management (PM) team, the Research team, and external partners (e.g., Vident, ETC) to document decisions.
As part of the Legal and Compliance team, take full ownership of translating complex fund governing documents and regulatory restrictions into precise compliance rules for new fund launches and fund amendments. Instruct BNY Mellon on necessary compliance rule applications, review the BNY-provided Compliance Summary Matrix for fund launches, and identify/resolve any coding mistakes. As part of the Legal and Compliance team, lead the effort to professionalize and scale compliance controls to manage a growing fund count (33+ funds), reducing reliance on PM Team for these specialized functions.
## Role Requirements:
Five years of demonstrated history of expertise in regulatory compliance, with experience revising compliance policies and conducting rigorous compliance testing. Bachelor’s degree in business, finance, or other related field, or equivalent work experience. Proven ability to manage legal and compliance operations projects end-to-end. Experience administering Code of Ethics programs and managing implementation processes, including OMS and PMS coding. Strong knowledge of the Investment Advisers Act, FINRA rules, and other applicable financial regulations.
Attainment of the Investment Adviser Certified Compliance
Professional (IACCP®) designation is highly desirable. • * The crypto industry is evolving rapidly, offering new opportunities in blockchain, web3, and remote crypto roles — don’t miss your chance to be part of it.Apply Now
Apply Now
Responsibilities:
Routinely monitor all investment portfolios to ensure continuous compliance with mandates, including asset type restrictions, concentration limits, leverage controls, and issuer exposure limits. Proactively communicate with the CCO regarding any compliance matters that arise and work with the CCO to develop solutions. Own the daily monitoring, research, and resolution of BNY-provided Compliance Issues Logs, requiring consultation with the CCO, Portfolio Management (PM) team, the Research team, and external partners (e.g., Vident, ETC) to document decisions.
As part of the Legal and Compliance team, take full ownership of translating complex fund governing documents and regulatory restrictions into precise compliance rules for new fund launches and fund amendments. Instruct BNY Mellon on necessary compliance rule applications, review the BNY-provided Compliance Summary Matrix for fund launches, and identify/resolve any coding mistakes. As part of the Legal and Compliance team, lead the effort to professionalize and scale compliance controls to manage a growing fund count (33+ funds), reducing reliance on PM Team for these specialized functions.
## Role Requirements:
Five years of demonstrated history of expertise in regulatory compliance, with experience revising compliance policies and conducting rigorous compliance testing. Bachelor’s degree in business, finance, or other related field, or equivalent work experience. Proven ability to manage legal and compliance operations projects end-to-end. Experience administering Code of Ethics programs and managing implementation processes, including OMS and PMS coding. Strong knowledge of the Investment Advisers Act, FINRA rules, and other applicable financial regulations.
Attainment of the Investment Adviser Certified Compliance
Professional (IACCP®) designation is highly desirable. • * The crypto industry is evolving rapidly, offering new opportunities in blockchain, web3, and remote crypto roles — don’t miss your chance to be part of it.Apply Now
Apply Now