Vice President, Compliance and Control--FCC Advisory, Broker Dealer & Investment Management
About The Position
Serves as an FCC Advisory associate, primarily supporting BNY’s Investments business within the broader BNY FCC Advisory Team. Supports key BNY Investments businesses, including BNY Mellon Securities Corporation and the BNY Family of Funds and ETFs. Plays a critical role within the Risk & Regulatory Compliance function and the Compliance & Control job family. Supports the integrity of BNY operations by helping maintain compliance with applicable regulatory standards. Helps ensure adherence to internal policies, procedures, and external regulatory requirements. Promotes BNY’s strategic focus on trust, integrity, accountability, and transparency. Requires a strong understanding of compliance frameworks, regulatory expectations, and risk management principles.
Requirements
- Bachelor’s degree in law, business, finance, or a related field.
- Typically requires 5–10 years of relevant compliance, risk, or regulatory experience.
- Strong analytical and problem-solving skills, with the ability to assess and address compliance issues effectively.
- Excellent communication and interpersonal skills, with the ability to educate, influence, and collaborate with stakeholders across the organization.
- Proven ability to interpret regulatory changes and implement effective compliance strategies.
Nice To Haves
- Advanced certifications in compliance or risk management, such as CRCM or CAMS, are advantageous.
Responsibilities
- Develops and implements compliance policies and procedures informed by a strong understanding of regulatory requirements.
- Collaborates with cross-functional teams to embed compliance controls into business processes.
- Monitors and interprets regulatory changes, advising senior management on potential impacts and recommended policy adjustments.
- Supporting the AMLO/FCCO during regulatory inquiries, internal audits, and annual third-party assessments.
- Deputy Money-Laundering Reporting Officer for funds registered in the Cayman Islands.
Benefits
- Highly competitive compensation, benefits, and wellbeing programs
- Access to flexible global resources and tools
- Generous paid leaves, including paid volunteer time
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What This Job Offers
Job Type
Full-time
Career Level
Senior
