Director, Compliance & Control

BNY Mellon•New York, NY

13d

About The Position

At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide. Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary. We’re seeking a future team member for the role of Director, Business Compliance Officer – Consumer Compliance to join our Risk & Compliance team. This role is located in New York City. In this role, you’ll make an impact in the following ways:

Requirements

Minimum of 10 years of experience in advisory compliance, legal, or regulatory roles with a focus on Consumer Compliance.
Strong knowledge of U.S. consumer compliance regulatory frameworks, including OCC, SEC, and related supervisory expectations. This includes expertise in consumer banking and payments regulations, including but not limited to: Truth in Lending Act, Equal Credit Opportunity Act, UDAAP, Regulations E, CC, DD, and Z, CFPB Prepaid Rule, Electronic Fund Transfer Act, Gramm-Leach-Bliley Act and consumer privacy requirements, Remittance Transfer Rule, Federal Payments Rule, federal garnishment rules, Regulation II, and applicable card network and payment network rules.
Direct experience supporting or managing compliance programs for SEC- and/or OCC-regulated entities.
Demonstrated ability to design and implement monitoring, testing, and risk assessment programs across complex and evolving business models.
Proven leadership and influencing skills, with the ability to engage effectively with senior executives, regulators, and cross-functional stakeholders.
Excellent written and verbal communication skills, strong analytical capabilities, and a solution-oriented mindset.
Bachelor’s degree required

Nice To Haves

Advanced degree (JD, MBA) and/or relevant certifications preferred.

Responsibilities

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

Benefits

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.

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