Senior Vice President, Markets Compliance

BNY Mellon • New York, NY

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About The Position

The Senior Vice President will join the Markets Compliance team, focused on supporting the US Broker Dealer. The role can be based in New York City and is a high-visibility opportunity to proactively manage risk and influence positive business outcomes in a fast-paced, innovative environment.

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

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 of an organization and drive compliance initiatives in a collaborative, matrixed 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 businesses and platforms on US broker-dealer laws, rules, and regulations.
• Partner with business and platform leads, Compliance, Finance, and Operations.
• Work cross-functionally 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.
• Support business units in developing and implementing procedures and controls to meet regulatory and industry requirements.
• Support the Chief Compliance Officer in managing compliance programs for a FINRA broker dealer, including board reporting, management reporting, remediation, and process enhancements.
• Influence stakeholders at all levels and drive compliance initiatives in a collaborative, matrixed environment.

What This Job Offers

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