Senior Vice President, Compliance Officer
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 Senior Compliance Officer to join our BNY Pershing Wealth Services team. This role is located in New York City or Jersey City.
Requirements
- Bachelor’s degree or professional certification preferred.
- 5-7 years relevant compliance and/or financial services experience preferred.
- Thorough knowledge of relevant financial industry rules and regulations (SEC & FINRA).
- Solid understanding of compliance and risk management best practices.
- This is a high-visibility role for a candidate who is eager to proactively manage risk and influence positive business outcomes in a fast-paced, innovative environment.
- Proven ability to influence stakeholders at all levels of the organization and drive compliance initiatives in a collaborative, matrixed environment.
Nice To Haves
- Experience in the review of investment adviser and broker-dealer advertising and marketing materials a plus.
Responsibilities
- Experienced Senior Compliance Officer to act as a strategic partner to business leaders responsible for development of advisory tech for the wealth management industry. Provide expert regulatory guidance on new product development, strategic initiatives, and process rollouts, ensuring compliance from inception.
- Work cross-functionally with other business units to design, implement and maintain a robust compliance program for new and existing business offerings.
- Conduct risk assessments and collaborate on internal monitoring reviews to identify potential compliance vulnerabilities and implement mitigating controls.
- Analyze existing and proposed legislation, regulatory announcements, and industry practices, and support the business units to develop and implement procedures and/or controls to meet these requirements.
- Support the Chief Compliance Officer in managing the compliance programs for a FINRA broker dealer.
Benefits
- highly competitive compensation
- benefits
- wellbeing programs
- access to flexible global resources and tools
- generous paid leaves
- paid volunteer time
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What This Job Offers
Job Type
Full-time
Career Level
Senior
