Compliance Director Jobs

About The Position

Requirements

• Bachelor’s degree or professional certification preferred.
• 15 years relevant compliance and/or financial services experience preferred.
• Expert knowledge of relevant financial industry rules and regulations (SEC & FINRA).
• Strong understanding of compliance and risk management best practices.
• Experience providing senior compliance support to wealth management and capital markets businesses.
• Proven ability to influence stakeholders at all levels of the organization and drive compliance initiatives in a collaborative, matrixed environment.

Nice To Haves

• This is a high-visibility role for a candidate who is eager to proactively manage risk and influence positive business outcomes in a fast-paced, innovative environment.

Responsibilities

• Serve as a senior compliance advisor to business leadership on regulatory requirements, supervisory expectations and compliance risk matters.
• Lead the implementation and oversight of the compliance framework for the Wealth Services business, primarily in relation to US Broker Dealer and Registered Investment Advisor activities.
• Lead advisory compliance coverage for BNY’s Managed Account Solutions’ business, which provides an integrated platform for multi-asset portfolios.
• Assist in navigating client-specific requirements such as tax management, portfolio customization, and reporting across a range of account structures.
• Support platform integration with regulated legal entities, including BNY Wealth and Investments businesses, as well as external clients.
• Provide compliance advisory support for corporate actions processing, and any issues involving account reconciliation, trading and reporting.
• Analyze existing and proposed legislation, regulatory announcements, and industry practices, and support the business units to develop and implement procedures and/or controls to meet these requirements.
• Conduct risk assessments and collaborate on internal monitoring reviews to identify potential compliance vulnerabilities and implement mitigating controls.

Benefits

• Highly competitive compensation
• Benefits and wellbeing programs
• Access to flexible global resources and tools
• Generous paid leaves
• Paid volunteer time
• 401(k) plan
• Company-sponsored medical, dental, vision, and basic life insurance plans
• Various paid time off benefits, such as vacation and sick time