Senior Vice President, Markets Compliance

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

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.