Senior VP, Regulatory Filings & Compliance Leader

BNY Mellon; Westborough (MA); Hybrid; USD 180,000 - 280,000; Full time

Job summary

BNY Mellon seeks a Senior Vice President, Regulatory Administration/Filings Manager to join its Legal team in Boston, MA. The role will lead multiple Regulatory Administration and Filings teams, providing guidance on SEC filings such as prospectuses, proxy statements, and board minutes while ensuring regulatory compliance.

The position requires 7–10 years of total experience with 1–3 years in management, a Bachelor's degree (JD preferred), and securities/financial services background.

Qualifications

• Bachelor's degree or equivalent combination of education and experience required; JD from an accredited law school preferred.
• 7-10 years of total work experience including 1-3 years in management preferred.
• Experience in the securities or financial services industry preferred.
• Proven ability to recruit, direct, motivate, and develop staff, managing multiple teams and resources effectively.

Responsibilities

• Lead multiple teams of Regulatory Administration and Filings staff providing clients with legal guidance on SEC filings such as prospectuses, proxy statements, and board minutes.
• Implement strategies to monitor regulatory developments and respond accordingly, acting as a legal expert in client-facing situations.
• Provide oversight and strategic guidance around legislative issues clients must address during board meetings and regulatory decisions.
• Manage relationships with clients' accounting firms and liaise with in-house counsel to ensure major filings comply with regulations.

Skills

Leadership

Regulatory knowledge

Securities industry experience

Client liaison

Education

JD from an accredited law school

Bachelor's degree or equivalent

Job description

BNY Mellon seeks a Senior Vice President, Regulatory Administration/Filings Manager to join its Legal team in Boston, MA. The role will lead multiple Regulatory Administration and Filings teams, providing guidance on SEC filings such as prospectuses, proxy statements, and board minutes while ensuring regulatory compliance.

The position requires 7–10 years of total experience with 1–3 years in management, a Bachelor's degree (JD preferred), and securities/financial services background.