Executive VP, Markets Compliance - Broker-Dealer Risk

BNY; Florida; On-site; USD 190,000 - 300,000; Full time

Benefits offered by this job

401(k) plan

Medical/Dental/Vision coverage

Paid time off

Job summary

BNY is seeking a Senior Vice President to join the Markets Compliance team, focusing on US broker-dealer compliance. The role can be based in Pittsburgh or Lake Mary, FL, with strategic advisory responsibilities across Compliance, Finance, and Operations.

The candidate will assess risk, design controls, and support governance and reporting to the CCO, while staying updated on SEC/FINRA requirements and industry practices. A strong track record in regulated financial services is essential.

Qualifications

• Bachelor’s degree or professional certification preferred.
• 10+ years relevant compliance and/or financial services experience preferred.
• Thorough knowledge of SEC & FINRA rules and risk management best practices.
• High-visibility role requiring proactive risk management and stakeholder influence.

Responsibilities

• Advise businesses and platforms on US broker-dealer laws, rules, and regulations.
• Collaborate cross-functionally to design and maintain a robust compliance program.
• Conduct risk assessments and support internal monitoring reviews for mitigating controls.
• Analyze legislation and industry practices to develop procedures and controls.
• Support CCO in managing FINRA broker-dealer compliance programs and reporting.

Skills

Financial services compliance

Regulatory risk management

Stakeholder influence

Cross-functional collaboration

FINRA/SEC knowledge

Education

Bachelor's degree or professional certification

Job description

BNY is seeking a Senior Vice President to join the Markets Compliance team, focusing on US broker-dealer compliance. The role can be based in Pittsburgh or Lake Mary, FL, with strategic advisory responsibilities across Compliance, Finance, and Operations.

The candidate will assess risk, design controls, and support governance and reporting to the CCO, while staying updated on SEC/FINRA requirements and industry practices. A strong track record in regulated financial services is essential.