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Editors

Harry Cassin
Publisher and Editor

Andy Spalding
Senior Editor

Jessica Tillipman
Senior Editor

Bill Steinman
Senior Editor

Richard L. Cassin
Editor at Large

Elizabeth K. Spahn
Editor Emeritus

Cody Worthington
Contributing Editor

Julie DiMauro
Contributing Editor

Thomas Fox
Contributing Editor

Marc Alain Bohn
Contributing Editor

Bill Waite
Contributing Editor

Shruti J. Shah
Contributing Editor

Russell A. Stamets
Contributing Editor

Richard Bistrong
Contributing Editor

Eric Carlson
Contributing Editor

Job: Chief Compliance Officer (BNY Mellon, NYC)

Job Title: Chief Compliance Officer

Employer: BNY Mellon

Location: New York, NY

 

Description

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 . . . 

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