Markets Compliance EVP - US Broker-Dealer

BNY Mellon; New York (NY); On-site; USD 180,000 - 280,000; Full time

Job summary

BNY Mellon is seeking a Senior Vice President to join our Markets Compliance team, focused on supporting the US Broker Dealer. Based in New York City, this role partners with business, Compliance, Finance and Operations to maintain a robust regulatory program.

You will lead cross‑functional initiatives, perform risk assessments, review regulatory developments, and support the Chief Compliance Officer with board reporting, remediation efforts, and program enhancements under FINRA/SEC rules.

Qualifications

• 10+ years relevant compliance and/or financial services experience.
• Thorough knowledge of SEC & FINRA rules and regulations.
• High-visibility role requiring proactive risk management.
• Proven ability to influence stakeholders across a matrixed organization.
• Experience reviewing investment adviser and broker-dealer advertising materials is a plus.

Responsibilities

• Act as strategic partner to business and platform leads, Compliance, Finance and Operations regarding US broker dealer regulations.
• Design, implement and maintain a robust compliance program for new and existing offerings.
• Conduct risk assessments and collaborate on internal monitoring reviews to identify vulnerabilities and mitigations.
• Analyze legislation and regulatory announcements to help develop compliant procedures and controls.
• Support the Chief Compliance Officer with board and management reporting and remediation efforts.

Skills

Regulatory risk management

Cross-functional collaboration

Stakeholder influence

Compliance program design

Financial services knowledge

Education

Bachelor's degree or professional certification

Job description

BNY Mellon is seeking a Senior Vice President to join our Markets Compliance team, focused on supporting the US Broker Dealer. Based in New York City, this role partners with business, Compliance, Finance and Operations to maintain a robust regulatory program.

You will lead cross‑functional initiatives, perform risk assessments, review regulatory developments, and support the Chief Compliance Officer with board reporting, remediation efforts, and program enhancements under FINRA/SEC rules.