Compliance and Control Specialist

BNY Mellon Rumson, NJ 2019-06-11

BNY Mellon Investment Management (“IM” or the “Firm”), an SEC registered investment adviser, FCA-authorized manager and FINRA member firm (through affiliates), has been a leading global investment manager for more than 35 years. The world’s largest affiliate based money manager, IM is headquartered in New York, maintaining regional offices in key markets throughout the North America, EMEA and Asia regions. With more than $2 trillion in total assets under management, IM offers institutional investors and wealth management clients a broad range of public and private fund strategies across the risk/return spectrum, along with separately managed account capabilities.

Alcentra is IM’s global asset management firm focused on sub-investment grade corporate credit. Our team brings together a depth of knowledge in sub-investment grade corporate debt that covers the entire spectrum of investment possibilities – from Secured Loans and High Yield Bonds to Direct Lending & Mezzanine, Distressed Debt and Special Situations to Structured Credit.

We work with investors around the world to help them make the most of the market opportunities. Our clients gain access through a large range of investment funds and where required we can help them build a portfolio tailored to their own specific needs and requirements.

Our highly experienced people, based in Boston, London, New York and Singapore, work across asset classes, business sectors and geographies. Each member of our investment team has long experience in his or her chosen field of specialization.

Alcentra is seeking a Compliance and Control Specialist. Responsibilities include:

  • Assist the Chief Compliance Officer and Deputy Chief Compliance Officer in analyzing, implementing and monitoring compliance with policies and procedures of the registered investment adviser.

  • Review marketing and promotional materials pursuant to SEC regulations.

  • Conduct and design tests of compliance policies and procedures pursuant to the Investment Advisers Act Rule 206(4)-7.

  • Prepare and submit regulatory filings for corporate entities and funds.

  • Provide advice to firm personnel regarding gifts, entertainment, political contributions and outside business activities.

  • Effectively communicate regulatory and procedural changes to relevant personnel.

  • Conduct ongoing compliance training of employees and orientation of new hires.

  • Participate in business and compliance related projects.

  • Dependably represent the Compliance Department by projecting integrity, honesty and competency while effectively communicating with the New York based personnel.


  • Bachelor‘s degree or the equivalent combination of education and experience is required. Legal degree preferred.

  • 5-7 years of total work experience preferred. Legal, Audit or Compliance background and/or experience with financial services compliance and/or experience with sub-investment grade corporate credit and the relevant laws, regulations and rules preferred.

  • Anti-Money Laundering / Know Your Customer experience is a plus.

  • Experience with Investment Advisers Act of 1940 is highly preferred.

  • Self-Starter with the ability to manage challenging workflow in fast paced, dynamic organization, managing multiple assignments in a deadline driven environment.

  • Strong technology background a plus.

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Primary Location: United States-New York-New York
Internal Jobcode: 85160
Job: Asset Management
Organization: Alcentra Group-HR13364
Requisition Number: 1908355
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