Senior Vice President, Markets Compliance

BNY; New York (NY); On-site; USD 180,000 - 240,000; Full time

Benefits offered by this job

401(k) plan

Medical, dental, vision, and life 보험

Paid time off & volunteer time

Job summary

BNY is seeking a Senior Vice President for the Markets Compliance team to support the US Broker Dealer. The role is based in New York City and involves partnering with business leads, Compliance, Finance, and Operations to maintain a robust compliance program for broker-dealer activities.

You will conduct risk assessments, analyze regulatory developments, and support remediation efforts in collaboration with the Chief Compliance Officer.

Qualifications

• Bachelor’s degree or professional certification preferred.
• 10+ years relevant compliance and/or financial services experience preferred.

Responsibilities

• Partner with business and platform leads, Compliance, Finance and Operations to advise on US broker-dealer rules and regulations.
• Work cross-functionally to design, implement, and maintain a robust compliance program for new and existing offerings.
• Conduct risk assessments and collaborate on internal monitoring to identify and mitigate vulnerabilities.
• Analyze legislation, regulatory announcements, and industry practices to help develop procedures and controls.
• Support the Chief Compliance Officer in managing compliance programs for a FINRA broker-dealer, including reporting and remediation.

Skills

Regulatory compliance

SEC & FINRA knowledge

Risk management

Stakeholder management

Cross-functional collaboration

Education

Bachelor's degree

Professional certification

Job description

Job Description

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.

Job Description

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.

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.

About Us

At BNY, our culture allows us to run our company better and enables employees' growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.

Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance - and this is what is all about. Join us and be part of something extraordinary.

About The Team

At BNY, our culture speaks for itself, check out the latest BNY news at BNY Newsroom & BNY LinkedIn

Here’s a Few Of Our Recent Awards

• America’s Most Innovative Companies, Fortune, 2025
• World’s Most Admired Companies, Fortune 2025
• Most Just Companies, Just Capital and CNBC, 2025

Our Benefits And Rewards

BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.

BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

BNY assesses market data to ensure a competitive compensation package for our employees. The expected base salary for this position when employment commences can be found in the Job Info section at the bottom of the posting.

Base salary offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience. Base salary is only part of the total rewards package, which may include eligibility for an annual discretionary incentive award. Subject to the terms and conditions of the applicable plans then in effect, eligible employees may enroll in a 401(k) plan as well as participate in Company-sponsored medical, dental, vision, and basic life insurance plans for the employee and the employee’s eligible dependents. Eligible employees also may receive other benefits (including various paid time off benefits, such as vacation and sick time), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

If hired, the employee will be in an "at will" position and the Company reserves the right to modify base salary (as well as any other discretionary payments or compensation programs) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.