Senior Vice President, Markets Compliance
About The Position
BNY is seeking a Senior Vice President to join its Markets Compliance team, supporting the US Broker Dealer. The role may be based in Pittsburgh or Lake Mary, Florida. The successful candidate will serve as a strategic compliance partner to business and platform leaders and collaborate with Compliance, Finance, Operations, and other teams to manage regulatory risk and support business offerings. The role includes advising on US broker-dealer laws, rules, and regulations; helping design, implement, and maintain compliance programs; conducting risk assessments and monitoring reviews; interpreting regulatory developments; and supporting the Chief Compliance Officer with compliance program management, reporting, remediation, and process improvements. The position calls for a proactive, influential professional who can manage risk and support positive business outcomes in a fast-paced, innovative, and matrixed environment.
Requirements
- Thorough knowledge of relevant financial industry rules and regulations, including SEC and FINRA requirements.
- Solid understanding of compliance and risk management best practices.
- Proven ability to influence stakeholders at all levels and drive compliance initiatives in a collaborative, matrixed environment.
- Proactive approach to managing risk and influencing positive business outcomes in a fast-paced, innovative environment.
Nice To Haves
- Bachelor’s degree or professional certification preferred.
- 10+ years of relevant compliance and/or financial services experience preferred.
- Experience reviewing investment adviser and broker-dealer advertising and marketing materials is a plus.
Responsibilities
- Advise business and platform leaders, Compliance, Finance, and Operations on US broker-dealer laws, rules, and regulations.
- Work cross-functionally with business and platform Compliance teams to design, implement, and maintain compliance programs for new and existing business offerings.
- Conduct risk assessments and collaborate on internal monitoring reviews to identify compliance vulnerabilities and implement mitigating controls.
- Analyze existing and proposed legislation, regulatory announcements, and industry practices, and support business units in developing and implementing procedures or controls to meet requirements.
- Support the Chief Compliance Officer in managing compliance programs for a FINRA broker-dealer, including board and management reporting, remediation, and process enhancements.
Benefits
- Competitive compensation and benefits programs.
- Wellbeing programs and flexible global resources and tools.
- Generous paid leaves, including paid volunteer time.
- Potential eligibility for an annual discretionary incentive award.
- 401(k) plan, subject to applicable plan terms and eligibility.
- Company-sponsored medical, dental, vision, and basic life insurance plans for eligible employees and dependents.
- Potential access to other benefits, including vacation and sick time, depending on the position.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
