Vice President, Regulatory Oversight Management

BNY; New York (NY); On-site; USD 68,000 - 125,000; Full time

Benefits offered by this job

Competitive compensation

Generous paid leaves

Wellbeing programs

Job summary

BNY seeks a Vice President, Regulatory Oversight Management in New York, NY to lead global regulatory reporting and data controls. The role collaborates with Compliance, Legal, Operations, and Technology to deliver accurate filings and drive process improvements.

The ideal candidate has a strong background in financial services, securities products, and regulatory reporting, with leadership capabilities and a focus on risk management.

Qualifications

• Bachelor's degree or equivalent in finance, business, or related field.
• 5-8 years total work experience preferred; advanced degree preferred.
• Proficiency in MS Excel; programming knowledge a plus.
• Knowledge of financial services industry and securities products including equities, fixed income, mutual funds, ETFs.

Responsibilities

• Support identification and preparation of Substantial Shareholder disclosures and regulatory reports globally; data analysis, aggregation and quality control.
• Coordinate with Regulatory SMEs on implementing regulator/legislative updates.
• Prepare/oversee securities risk management reports for Senior Management, including ad hoc and monthly reports.
• Perform data management, quality control and investigative research for regulatory reporting.
• Communicate with internal and external parties domestically and internationally on data enhancement and reconciliation.
• Drive continuous improvement; work with tech teams on automation and enhancements of reports.
• Leverage AI to streamline and modernize workflows.
• Lead and support projects; ensure timely and accurate completion.
• Oversee procedural/control changes and provide escalation on complex reporting matters.
• Provide guidance and leadership to team members; contribute to team objectives.

Skills

MS Excel

Programming knowledge

Regulatory reporting

Securities products knowledge

Analytical skills

Education

Bachelor's degree

Advanced/graduate degree preferred

Tools

Job description

Job Description

Vice President, Regulatory Oversight Management

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 BNY Investments

BNY Investments is a division of BNY, one of the world’s largest and most‑trusted financial services groups. BNY Investments is a leading investment manager, with $2.1 trillion* in assets under management as of June 30, 2024. Through an investor‑first approach, the firm brings to clients the best of both worlds: specialist expertise from seven specialist investment managers offering solutions across every major asset class, backed by the strength, stability, and global presence of BNY.

We’re seeking a future team member for the role of Vice President, Regulatory Oversight Management to join our Global Holdings Reporting team. This role is located in New York, NY. BNY’s Global Holdings Reporting (GHR) team centrally manages and executes mandatory securities ‑ holdings disclosures to regulators and exchanges worldwide. We’re a close ‑ knit, global group known for collaboration, market expertise, and a strong risk ‑ and ‑ control mindset. Partnering across Compliance, Legal, Operations, and Technology, we deliver accurate, on ‑ time filings and continuous process improvements. If you’re growth ‑ minded and energized by high ‑ stakes operational excellence, you’ll thrive with us. The successful candidate will bring financial services experience with operational and technical exposure, and possess working knowledge of securities products—including equities, fixed income, mutual funds, and ETFs.

Responsibilities

• Responsible for supporting the identification and preparation of Substantial Shareholder disclosures and various regulatory reports on a global basis; including requisite data analysis, aggregation and quality control.
• Coordinates with Regulatory SMEs in implementing and effectively operationalizing requirements driven by Regulator / legislative updates.
• Prepares/Oversees a variety of securities related risk management reports for Senior Management including ad hoc and monthly reporting.
• Performs and oversees data management, quality control and investigative research in support of regulatory reporting.
• Communicates with internal and external parties, domestically and internationally, on data enhancement and reconciliation.
• Drives continuous improvement, coordinating with the technology team on automation/enhancement of various processes and reports.
• Ability to leverage AI to streamline and modernize workflows.
• Leads and supports projects and ensures they are completed timely and accurately.
• Oversees and makes recommendations on necessary procedural/control changes.
• Serves as a point of escalation for complex reporting matters; coordinates timely responses and maintains strong stakeholder confidence.
• Provides guidance, coaching and leadership support to team members and contributes to the achievement of team objectives.

Requirements

• Bachelors degree or the equivalent combination of education and experience is required.
• Advanced/graduate degree preferred. 5-8 years of total work experience preferred.
• Proficient with MS Excel required and programming knowledge a plus.
• Knowledge of the financial services industry is required, with experience and familiarity across securities products/services including equities, fixed income, mutual funds, ETFs, depository receipts, derivatives, securities lending and collateral.
• Strong collaborative skills are preferred to work in this collegial team environment.
• Strong communication skills, problem-solving and basic project management abilities required.
• Prior operational and regulatory experience a plus.

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 assesses market data to ensure a competitive compensation package for our employees. The base salary for this position is expected to be between $68,000 and $125,000 per year at the commencement of employment. However, base salary if hired will be determined on an individualized basis, including as to experience and market location, and is only part of the BNY total compensation package, which, depending on the position, may also include commission earnings, discretionary bonuses, short and long‑term incentive packages, and company‑sponsored benefit programs. This position is at‑will and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation) at any time, including for reasons related to individual performance, change in geographic location, Company or individual department/team performance, and market factors.

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