Director, Business Compliance Officer - Wealth Compliance

BNY Mellon•New York, NY

4d•$127,000

About The Position

In this role, you’ll make an impact by independently contributing to the Wealth Compliance program, ensuring alignment with applicable OCC, Consumer banking, SEC, and FINRA regulations, as well as internal risk management and governance frameworks. You will have strong partnership capabilities with business and functional leaders to address regulatory, audit, and examination findings. The candidate must be comfortable hosting discussions and leading presentations with a senior management audience. You will partner with business leaders to assess compliance implications of new products, activities and services, including advising on the development of relevant controls and ongoing monitoring frameworks. You will provide oversight of the compliance frameworks, including policies, procedures, monitoring, testing, issue management, and reporting. You will participate in governance forums and serve as a subject matter expert on compliance matters across Wealth Management. You will collaborate with technology, product, and operations teams to embed compliance-by-design principles across the full lifecycle of products and services. You will independently contribute to regulatory engagement for Wealth Management, including preparing for meetings with regulators and responses to examinations or inquiries. You will prepare and deliver management reporting, dashboards, and risk assessments for executive leadership and the Board related to compliance matters.

Requirements

Minimum of 10 years of experience in wealth management or consumer banking advisory compliance roles
Strong knowledge of OCC, consumer banking, FINRA and/or SEC regulations
Bachelor’s degree required
Excellent written and verbal communication skills
Strong analytical capabilities
A solution-oriented mindset
Proven leadership and influencing skills, with the ability to engage effectively with senior executives, regulators, and cross-functional stakeholders.
Demonstrated ability to design and implement monitoring, testing, and risk assessment programs across complex and evolving business models.

Nice To Haves

Highly preferred 5 years’ or more experience in consumer compliance and/or experience with consumer banking compliance and the pertaining laws, regulations and rules of relevant regulators.
advanced degree (JD, MBA) and/or relevant certifications preferred.

Responsibilities

Independently contribute to the Wealth Compliance program, ensuring alignment with applicable OCC, Consumer banking, SEC, and FINRA regulations, as well as internal risk management and governance frameworks.
Strong partnership capabilities with business and functional leaders to address regulatory, audit, and examination findings.
Partner with business leaders to assess compliance implications of new products, activities and services, including advising on the development of relevant controls and ongoing monitoring frameworks.
Provide oversight of the compliance frameworks, including policies, procedures, monitoring, testing, issue management, and reporting.
Participate in governance forums and serve as a subject matter expert on compliance matters across Wealth Management.
Collaborate with technology, product, and operations teams to embed compliance-by-design principles across the full lifecycle of products and services.
Independently contribute to regulatory engagement for Wealth Management, including preparing for meetings with regulators and responses to examinations or inquiries.
Prepare and deliver management reporting, dashboards, and risk assessments for executive leadership and the Board related to compliance matters.