Vice President, Business Compliance Officer – Wealth Compliance

BNY Mellon • New York, NY

16d • $68,000 - $139,500

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 VP, Business Compliance Officer – Wealth Compliance to join our Risk and Compliance team. This role is located in New York City.
In this role, you’ll make an impact in the following ways:

Requirements

• Minimum of 5 years of experience in wealth management or consumer banking advisory compliance roles
• Strong knowledge of OCC, consumer banking, FINRA and/or SEC regulations
• Bachelor’s degree required; advanced degree (JD, MBA) and/or relevant certifications preferred.

Nice To Haves

• Highly preferred 3 years’ or more experience in consumer compliance and/or experience with consumer banking, compliance and the pertaining laws, regulations and rules of relevant regulators. Trust and fiduciary subject matter expertise a plus.

Responsibilities

• Contribute to the Wealth Compliance program, ensuring alignment with applicable OCC, Consumer banking, SEC, and FINRA regulations, as well as internal risk management and governance frameworks.
• Strong partnership capabilities with business and functional leaders to address regulatory, audit, and examination findings. The candidate must be comfortable hosting discussions and leading presentations with a senior management audience.
• Partner with the compliance team to assess compliance implications of new products, activities and services, including advising on the development of relevant controls and ongoing monitoring frameworks.
• Demonstrated ability to design and implement monitoring, testing, and risk assessment programs across complex and evolving business models.
• Provide oversight of the compliance frameworks, including policies, procedures, monitoring, testing, issue management, and reporting.
• Support compliance team in governance forums and serve as a subject matter expert on compliance matters across Wealth Management.
• Collaborate with technology, product, and operations teams to embed compliance-by-design principles across the full lifecycle of products and services.
• Contribute to regulatory engagement for Wealth Management, including preparing for meetings with regulators and responses to examinations or inquiries.
• Proven leadership and influencing skills, with the ability to engage effectively with cross-functional stakeholders and business partners in assigned coverage area.
• Excellent written and verbal communication skills, strong analytical capabilities, and a solution-oriented mindset.
• Assist in the preparation of management reporting, dashboards, and risk assessments for executive leadership and the Board related to compliance matters.

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.

What This Job Offers

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