Director, Compliance & Control

BNY Mellon • New York, NY

19h • 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. In this role, you’ll make an impact in the following ways: 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.

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Number of Employees: 5,001-10,000 employees