BNY

Safeguards and moves assets for investors

Senior Vice President - Markets Compliance

Regulatory Compliance & EthicsConfirmed live in the last 24 hours

Full-time$104k - $147kIn-person

About the Job

Requirements

A bachelor's degree or professional certification is preferred.
At least 10 years of relevant compliance and/or financial services experience is preferred.
Thorough knowledge of relevant financial industry rules and regulations, including SEC and FINRA requirements.
A solid understanding of compliance and risk management best practices.
Proven ability to influence stakeholders at all organizational levels and drive compliance initiatives in a collaborative, matrixed environment.

Responsibilities

Advise business and platform leads, Compliance, Finance, and Operations on US broker-dealer laws, rules, and regulations.
Work cross-functionally with other businesses 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.

Desired Qualifications

Experience reviewing investment adviser and broker-dealer advertising and marketing materials is a plus.

We’re seeking a future team member for the role of Senior Vice President to join our Markets Compliance team, focused on supporting the US Broker Dealer. This role can be based in New York City, Pittsburgh, or Lake Mary, FL.

In this role, you’ll make an impact in the following ways:

Strategic partner to business and platform leads, Compliance, Finance and Operations, responsible for advising various businesses and platforms regarding US broker dealer laws, rules and regulations.
Work cross-functionally with other businesses and platform Compliance coverage on the design, implementation, 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 the business units to develop and implement procedures and/or controls to meet these requirements.
Support the Chief Compliance Officer in managing the compliance programs for a FINRA broker dealer, including board reporting, management reporting, as well as supporting remediation and process enhancements.

To be successful in this role, we’re seeking the following:

Bachelor’s degree or professional certification preferred. 10+ years relevant compliance and/or financial services experience preferred.
Thorough knowledge of relevant financial industry rules and regulations (SEC & FINRA). Solid understanding of compliance and risk management best practices.
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.
Proven ability to influence stakeholders at all levels of the organization and drive compliance initiatives in a collaborative, matrixed environment.
Experience in the review of investment adviser and broker-dealer advertising and marketing materials a plus.

Base Salary Min: 104000

Base Salary Max: 147000

About the Company

BNY

Safeguards and moves assets for investors

BNY safeguards financial assets and runs investment services for institutions, investment firms and wealthy clients around the world. Its custody business keeps clients' securities safe and handles the records and transactions needed to administer investment funds. Banks and brokers use its systems to settle trades, manage collateral and send payments, while its investment and wealth businesses manage portfolios and advise clients. It earns servicing and management fees as well as interest on loans and securities funded by client deposits. BNY traces its roots to the Bank of New York, founded by Alexander Hamilton in 1784, and is headquartered in New York City.

Company size: 10,001+
Company stage: IPO
Headquarters: New York City, New York
Founded: 1784

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