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About the role
Key responsibilities & impact- Review of, and provision of guidance on, all applicable scheme documentation (including prospectuses; instruments of incorporation; trust deeds; FCA applications; schemes of arrangement; investor circulars; and risk management policies), in each case from a depositary and fiduciary perspective, with a view to ensuring compliance with all applicable regulations; protection of investor interests; and adherence to evolving regulator expectations;
- Providing high quality interpretation to fund manager clients, the depositary business, and the wider organisation in respect of regulatory and compliance matters relating to the interpretation of relevant regulations; and their application to technical aspects of collective investment fund operations
- Collation and submission of regular regulatory reporting
- Lead the analysis of regulatory change
- Represent the regulatory team in governance forums
- Represent BNY in industry forums
- Perform Issues/Embeddedness Testing reviews; assess remediation control design and operating effectiveness, document results, and drive follow‑up actions to closure.
- Lead the review of trend analysis on issues, developing additional action plans as necessary
Requirements
What you’ll need- In-depth knowledge of the collective investment funds industry and the rules and regulations pertaining thereto (particularly as they relate to open-ended investment companies (OEICs); authorised unit trusts (AUTs); and authorised contractual schemes (ACS), in each case structured as UCITS; non-UCITS retail schemes (NURS); qualified investor schemes (QIS) and Long-Term Asset Funds (LTAF)
- In-depth familiarity with authorised fund scheme documentation and the FCA authorisations process;
- Strong risk awareness with a deep understanding of control frameworks, testing methodologies, and remediation life cycles
- Strong communication and collaboration skills, with the ability to work effectively with stakeholders at all levels of the organization.
- Strong analytical skills and high attention to detail.
- Strong sense of ownership, accountability, and risk awareness.
- Ability to prioritize across multiple deadlines and manage a varied workload.
Benefits
Comp & perks- BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy.
- We provide access to flexible global resources and tools for your life’s journey.
- Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
Regulatory ComplianceFund Scheme Documentation ReviewIssues Testing And RemediationTrend AnalysisRegulatory Change Analysis
Soft Skills
Strong Communication SkillsCollaboration SkillsOwnership And AccountabilityAbility To PrioritizeAttention To Detail