Senior Vice President, Markets Compliance

BNY Mellon • Lake Mary, FL

7d

About The Position

The Senior Vice President will join the Markets Compliance team and support the US Broker Dealer. The role may be based in Pittsburgh or Lake Mary, Florida. It is a high-visibility position for someone who proactively manages risk and influences positive business outcomes in a fast-paced, innovative environment.

The role partners with business and platform leads, Compliance, Finance, and Operations to advise on US broker-dealer laws, rules, and regulations. It also works cross-functionally with other businesses and platform Compliance coverage to design, implement, and maintain a robust compliance program for new and existing business offerings. The position supports the Chief Compliance Officer in managing compliance programs for a FINRA broker-dealer.

Requirements

• 10+ years of relevant compliance and/or financial services experience preferred.
• 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 of the organization and drive compliance initiatives in a collaborative, matrixed environment.

Nice To Haves

• Bachelor’s degree or professional certification preferred.
• Experience reviewing investment adviser and broker-dealer advertising and marketing materials.

Responsibilities

• Advise businesses and platforms regarding US broker-dealer laws, rules, and regulations.
• Work cross-functionally with business and platform Compliance coverage 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 business units in developing and implementing procedures and controls to meet requirements.
• Support the Chief Compliance Officer in managing compliance programs for a FINRA broker-dealer, including board reporting, management reporting, remediation, and process enhancements.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior