Senior Director, Wealth Compliance & Risk

BNY; New York (NY); On-site; USD 240,000 - 320,000; Full time

Job summary

BNY is seeking a Senior Director for Wealth Services Compliance based in New York City. The role involves advising leadership on regulatory requirements and overseeing the compliance framework for Broker Dealer and Registered Investment Advisor activities.

You will lead advisory coverage for Managed Account Solutions, supporting client-specific needs across multi-asset portfolios, tax management, reporting, and platform integration with regulated entities.

Qualifications

• Bachelor’s degree or professional certification preferred.
• 15 years in compliance and/or financial services preferred.
• Experience in wealth management and capital markets is desirable.

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.

Skills

Regulatory compliance

Risk management

Stakeholder management

Financial services knowledge

Client advisory

Education

Bachelor’s degree or professional certification

Job description

BNY is seeking a Senior Director for Wealth Services Compliance based in New York City. The role involves advising leadership on regulatory requirements and overseeing the compliance framework for Broker Dealer and Registered Investment Advisor activities.

You will lead advisory coverage for Managed Account Solutions, supporting client-specific needs across multi-asset portfolios, tax management, reporting, and platform integration with regulated entities.