VP, Regulatory Filings & Compliance Leader

BNY; Westborough (MA); Hybrid; USD 180,000 - 240,000; Full time

Job summary

BNY is seeking a Senior Vice President, Regulatory Administration/Filings Manager for its Legal team in Boston, MA. This four‑day in‑office role leads regulatory administration and filings, guiding SEC submissions and client engagements with a focus on compliance and strategic risk management.

The position requires a JD preferred and 7–10 years of experience, including 1–3 years in management, with strong experience in securities/financial services.

Qualifications

• Bachelor’s degree or equivalent combination of education and experience required; JD from an accredited law school preferred.
• 7–10 years 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

Regulatory leadership

Team management

Securities/financial services

Client-facing guidance

Strategic planning

Education

Bachelor’s degree or equivalent

J.D. from an accredited law school (preferred)

Job description

BNY is seeking a Senior Vice President, Regulatory Administration/Filings Manager for its Legal team in Boston, MA. This four‑day in‑office role leads regulatory administration and filings, guiding SEC submissions and client engagements with a focus on compliance and strategic risk management.

The position requires a JD preferred and 7–10 years of experience, including 1–3 years in management, with strong experience in securities/financial services.