Director, Compliance & Control

BNY Mellon • New York, NY

8h • Onsite

About The Position

We’re seeking a future team member for the role of Director to join our Markets Compliance team, covering Fixed Income and Buy-side Trading Solutions. This role is located in New York City.

Requirements

• Bachelor’s degree
• At least 10 years of regulatory compliance experience and current knowledge with focus on capital markets, including fixed income securities.
• Strong organizational and communications skills and attention to detail.
• Maintains a strong work ethic, is pro-active with ability to work independently and manage ad-hoc projects to conclusion.
• Ability to manage relationships with Business COO, and Controls to foster business change aligned with regulatory expectations

Responsibilities

• Provide real-time advisory compliance support to lines of business and support staff so they may conduct their business in accordance with FINRA Broker-Dealer, NFA Introducing Broker, and Bank regulations.
• Advise and provides guidance for establishing a reasonably designed supervisory framework
• Prepare and update Compliance policies, and guidance for business owned documentation, including written supervisory procedures.
• Proactively engages with Compliance, Legal, and business colleagues to enhance the overall Compliance framework.
• Provide guidance on and remain up to date on regulatory developments and industry best practices.
• Interface with regulators, internal audit, and compliance testing teams during related examinations and/or audits for coverage areas.

Benefits

• highly competitive compensation
• benefits
• wellbeing programs
• access to flexible global resources and tools
• Focus on your health
• foster your personal resilience
• reach your financial goals
• generous paid leaves
• paid volunteer time
• medical, dental, vision, and basic life insurance plans
• various paid time off benefits, such as vacation and sick time

What This Job Offers

• Job Type: Full-time
• Career Level: Director