Compliance analyst job description

The BNY Mellon Portfolio Compliance team performs automated post trade compliance testing for mutual fund and ETF clients to ensure compliance with investment requirements established by the IRS, SEC and individual fund guidelines under the Investment Company Act of 1940.

Working under general supervision, the Analyst is responsible for the daily compliance monitoring of mutual fund client investment portfolios. They will identify compliance rules based on regulatory requirements and specific fund documents and code guidelines within our automated proprietary compliance system. The analyst will independently perform research and analysis of daily compliance exceptions, validate test results and accounting data, and bring issues to a logical conclusion. The Analyst will collaborate with their Manager to review exceptions and provide supporting documentation and justification of their conclusions. They will communicate directly with clients by providing daily notification of compliance exceptions, respond to client inquiries, and document all client feedback and directives. The Analyst is required to have strong communication skills to collaborate with both clients and internal departments to resolve compliance issues. Working directly with clients, the Analyst will identify and implement solutions for new testing guidelines as needed. They are responsible for coordinating monthly and quarterly compliance reporting and will provide documentation for audit purposes. The Analyst is responsible for maintaining detailed client procedures and adhering to all risk and control protocols.
Requirements:
Strong verbal and written communication skills. Understanding of investments including various investment types, fund accounting and balance sheet analysis. Ability to perform research, analysis and interpretation of financial data. Demonstrate independent thinking, analytical, and problem-solving skills Proficiency in MS Office (Outlook, Word, Excel, etc.) is required. Ability to understand and develop proficiency in other systems is required to perform the duties of this position.
Preferred Skills:
Knowledge of mutual funds, ETFs, common stock, fixed income, derivatives General knowledge of accounting Previous experience in compliance, as a financial services analyst, or other industry-related experience a plus, but not required
Position: Entry Level
Bachelor's Degree in Accounting, Finance, Business Management or Economics, or equivalent work experience.


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.

BAE is seeking an experienced IT Software Compliance Analyst to support our Government Partner with managing compliance standards with enterprise software licenses.
In this role you will:
Responsible for coordinating with internal stakeholders and third-party vendors to gather requirements and execute projects relating to software compliance Support procurement management activities including management and monitoring of purchase requisitions, purchase orders, invoicing, and project funding. Support process improvement and special project activities requiring engagement and collaboration with a variety of functional teams Assist the customer to identify, validate and prioritize requirements in software compliance realm and support future automation for the program Maintain accurate records of software inventory and licenses to ensure strict accountability and fiscal records necessary to reconcile property records and fiscal budgets. Support the scheduling and deployment/decommission of telecom services in support of operations.
Who you are:
Energized when faced with complex technical challenges and diligently work to identify creative solutions. Ability to perform high quality work, both independently and with a team, in a fast-moving environment. Ability to plan and prioritize tasks to successfully meet/exceed customer expectations.


Required Education, Experience, & Skills


Bachelor's degree or commiserate experience. Ability to obtain a Public Trust clearance. Proficient in Microsoft Office suite of tools including Excel and SharePoint; aptitude for quickly learning related tool sets.


Preferred Education, Experience, & Skills


Experience working on agile team Experience working with service now Experience working with Jira


About BAE Systems Intelligence & Security

BAE Systems, Inc. is the U.S. subsidiary of BAE Systems plc, an international defense, aerospace and security company which delivers a full range of products and services for air, land and naval forces, as well as advanced electronics, security, information technology solutions and customer support services. Improving the future and protecting lives is an ambitious mission, but it's what we do at BAE Systems. Working here means using your passion and ingenuity where it counts - defending national security with breakthrough technology, superior products, and intelligence solutions. As you develop the latest technology and defend national security, you will continually hone your skills on a team-making a big impact on a global scale. At BAE Systems, you'll find a rewarding career that truly makes a difference.

Intelligence & Security (I&S), based in McLean, Virginia, designs and delivers advanced defense, intelligence, and security solutions that support the important missions of our customers. Our pride and dedication shows in everything we do-from intelligence analysis, cyber operations and IT expertise to systems development, systems integration, and operations and maintenance services. Knowing that our work enables the U.S. military and government to recognize, manage and defeat threats inspires us to push ourselves and our technologies to new levels.

Our Commitment to Diversity, Equity, and Inclusion:
At BAE Systems, we work hard every day to nurture an inclusive culture where employees are valued and feel like they belong. We are conscious of the need for all employees to see themselves reflected at every level of the company and know that in order to unlock the full potential of our workforce, everyone must feel confident being their best, most sincere self and be equipped to thrive. We provide impactful professional development experiences to our employees and invest in social impact partnerships to uplift communities and drive purposeful change. Here you will find significant opportunities to do meaningful work in an environment intentionally designed to be one where you will learn, grow and belong.

The Risk and Compliance Analyst is an intermediate-level position responsible for liaising between business users and technologists to exchange information in a concise, logical and understandable way in coordination with the Technology team. The overall objective of this role is to contribute to continuous iterative exploration and investigation of business performance and other measures to gain insight and drive business planning.
Responsibilities:

Define business, financial, and operations requirements and systems goals through partnership with decision makers, systems owners and end users Identify and establish scope and parameters of systems analysis to define outcome criteria and measure-taking actions Analyze business processes, gaps in capabilities, as well as appropriate data sources, interfaces and process changes required to address capability gaps Generate and compile reports based on findings, including probable causes and potential solutions to systems issues Provide advice and counsel related to technology or operations of the business, ensure essential procedures are followed and contribute to defining standards Filter, prioritize and validate potentially complex material from multiple sources and perform other duties and functions as assigned Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.



Qualifications:



5-8 years of experience in Risk and Compliance, business analysis or systems analysis Strong technical skills Demonstrated ability to effectively use complex analytical, interpretive and problem-solving techniques Proven interpersonal, diplomatic and influencing skills Consistently demonstrate clear and concise written and verbal communication


Education:



Bachelor's degree/University degree or equivalent experience



Job Family Group:

Technology


Job Family:

Business Analysis / Client Services


Time Type:

Full time

Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review
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Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment.