Senior Analyst, Investment Portfolio Compliance

The Bank of New York Mellon Corporation

Westborough, MA, USA

Full time

Sep 12

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.

The Senior Analyst will oversee the daily compliance monitoring of mutual fund investment portfolios. They will w ork independently with their staff to identify compliance rules based on regulatory requirements and fund specific documents and code guidelines within our automated proprietary compliance system. The Senior Analyst will collaborate with staff to validate compliance exceptions, bring issues to a logical conclusion, and make recommendations to clients for resolution. They will oversee and provide signoff on all client deliverables and escalate critical issues to Management as needed. The Senior Analyst will serve as a central point of contact for client communications providing daily support and responding to inquiries in a timely manner. They will work closely with the Chief Compliance Officer and respective client teams, tax directors, external auditors, and internal teams.

In addition to the daily oversight of compliance exceptions, the Senior Analyst will be responsible for onboarding new clients/funds, reviewing fund prospectuses and SAIs, working with staff to identify testing requirements, and setting up test parameters within the compliance system. They will ensure that daily operating procedures and client specific procedures are well documented and adhered to. The Senior Analyst will participate in opportunities for workflow improvements and process efficiencies.


  • Strong verbal and written communication skills;
  • Minimum of 3 years of work experience in financial analysis, investment management or securities related businesses. Investment compliance experience a plus.
  • Knowledge of financial accounting and balance sheet analysis strongly recommended
  • Ability to perform research, analyze and interpret financial data.
  • 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.

Bachelor's Degree in Accounting, Finance, Business Management or Economics, or equivalent work experience.

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.

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