Compliance Officer (Investment Management)

Overview

Newton Investment Management North America, LLC is a registered investment adviser and an indirect subsidiary of the Bank of New York Mellon Corporation. Newton Investment Management North America along with its affiliate, Newton Investment Management Ltd., provides discretionary and non-discretionary investment advice to institutional clients, including US and global pension funds, sovereign wealth funds, central banks, endowments, foundations, insurance companies, registered mutual funds, other pooled investment vehicles and other institutions. Its current office locations include London, Boston, New York and San Francisco. The Compliance Officer will be based in Boston and report directly to the Chief Compliance Officer of Newton Investment Management North America and provide support to the global compliance framework.

Key Responsibilities

• Assist with the maintenance of compliance policies and procedures on a periodic basis and as needed basis to accurately reflect changes to business practices and/or the regulatory environment.
• Provide Compliance support and guidance on strategic initiatives and regulatory developments.
• Liaise with the business line at Newton as well as BNY Mellon to assist with compliance oversight and monitoring processes.
• Assist with designing and delivery of compliance training to the business.
• Assist with the review of marketing materials.
• Provide support to other teams in the wider Risk & Compliance department, as required.
• Attend and prepare materials for Governance Committees, as required.
• Drafting of compliance, risk and related reports on behalf of the Compliance and Risk teams.

Key Responsibilities

• Minimum experience of 5 years of working within the financial services industry, with knowledge and good understanding of SEC and CFTC rules preferred.
• Knowledge of asset management compliance program related rules and regulations
• Strong analytical and problem-solving skills
• Highly organized and detail-oriented
• Excellent communication skills (oral and written), with the ability to work on multiple tasks simultaneously
• Self-motivated
• Flexible team approach
• IT skills (excel/word)

Values

• Client Focus – demonstrates clear understanding of importance of effective customer service, internally and externally
• Trust – evidences high standards of integrity and openness
• Teamwork – demonstrates ability to work effectively as a member of a team, a collaborative style, and understands the value of diversity
• “Outperformance” – evidences the ability to exceed expectations of others

Core Competencies

• Global Acumen – Demonstrating an understanding of the competitive global business environment as well as an awareness of economic, social, and political trends that impact the organization’s global strategy.
• Developing Partnerships – Developing and using collaborative relationships inside and outside the organization to facilitate the accomplishment of work goals.
• Building Organisational Talent – Evaluating and selecting internal and external talent to ensure the best match between the individual and the work requirements. Provides timely coaching, guidance and feedback to help others maximize their potential and meet key accountabilities.
• Change Leadership – Encouraging others to seek opportunities for different and innovative approaches to addressing problems and opportunities; facilitating the implementation and acceptance of change.
• Client Orientation – Cultivates client relationships and ensures that the client perspective is the driving force behind all value added business activities.
• Operational decision making – Securing and comparing information from multiple sources to identify business issues; committing to an action after weighing alternative solutions against important decision criteria and organizational values.
• Driving execution – Setting high goals for personal and group accomplishment; using measurement methods to monitor progress toward goals; tenaciously working

Employer Description:

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world’s financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It’s the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.

EEO Statement:

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.