Director, Investments Compliance
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, Compliance and Control to join our BNY Investments team. This role is located in New York, New York. This role will support multiple affiliated SEC Registered Investment Advisers (RIAs). You will support robust compliance program within BNY Investments. You’ll partner closely with business leaders and senior management to ensure policies, controls, and monitoring processes meet all regulatory requirements.
Requirements
- Bachelor’s degree; MBA preferred
- Minimum of 15 years of experience in a compliance role in the asset management industry, with a focus on the Investment Advisers Act. Alternatives experience a plus.
- Excellent oral and written communication; comfortable presenting to clients, senior executives and regulators
- Ability to independently analyze complex regulatory and business issues, propose pragmatic solutions, and drive timely execution
- Strong project-management skills and ability to juggle priorities across multiple affiliated lines of business
Responsibilities
- Assist the Chief Compliance Officer in developing and managing investment adviser compliance programs and ensuring compliance with all applicable laws, regulations and industry best practices
- Act as a strategic advisor and subject-matter expert to business partners (investment teams, product development, legal, operations, distribution) in support of new business initiatives and/or new products.
- Promote a compliance-oriented culture within investment and product functions: act as a trusted advisor, drive awareness of compliance obligations, assist the business in integrating compliance viewpoint early in product and business development, and foster a proactive control mindset rather than reactive issue resolution.
- Develop, review, and enhance policies in accordance with the Investment Advisers Act and other applicable regulations, ensuring alignment with regulatory requirements and industry best practices
- Prepare key regulatory filings
- Oversee compliance risk assessments
- Assist with regulatory examinations and inquiries
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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What This Job Offers
Job Type
Full-time
Career Level
Director
