Job Title: Chief Compliance Officer
Employer: BNY Mellon
Location: New York, NY
Overseeing all aspects of an investment advisory compliance program including but not limited to: Supervising the annual review of policies and procedures and providing a written report to support the Rule206(4) -7 review. Responding to regulatory inquiries and examinations. Maintaining all pertinent regulatory registrations and authorizations. Assisting the firm in assessing inherent risks and conflicts of interests in their respective business lines . . . Continue Reading . . .