VP, Regulatory Filings & Compliance

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

Benefits offered by this job

Competitive compensation

Excellent benefits

Job summary

BNY is seeking a Vice President, Regulatory Administration/Filings Manager to join its Legal team in Boston, MA. This hybrid role requires deep expertise in SEC filings and regulatory strategy, with a track record of managing teams and coordinating with external accounting firms.

The role focuses on guiding clients through complex regulatory requirements, supervising filings, and ensuring compliance across major corporate communications and board materials.

Qualifications

• Bachelor’s degree or equivalent; JD preferred.
• 7–10 years total experience with 1–3 years in management.
• Experience in securities or financial services industry preferred.
• Proven ability to recruit, direct, motivate, and develop staff.

Responsibilities

• Provide 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.

Education

Bachelor’s degree

J.D.

Job description

BNY is seeking a Vice President, Regulatory Administration/Filings Manager to join its Legal team in Boston, MA. This hybrid role requires deep expertise in SEC filings and regulatory strategy, with a track record of managing teams and coordinating with external accounting firms.

The role focuses on guiding clients through complex regulatory requirements, supervising filings, and ensuring compliance across major corporate communications and board materials.