Director, Compliance & Control

About the role

We’re seeking a future team member for the role of Director to join our Markets Compliance team, covering Fixed Income and Buy-side Trading Solutions. This role is located in New York City.

Responsibilities

• Provide real-time advisory compliance support to lines of business and support staff so they may conduct their business in accordance with FINRA Broker-Dealer, NFA Introducing Broker, and Bank regulations.
• Advise and provides guidance for establishing a reasonably designed supervisory framework.
• Prepare and update Compliance policies, and guidance for business-owned documentation, including written supervisory procedures.
• Proactively engages with Compliance, Legal, and business colleagues to enhance the overall Compliance framework.
• Provide guidance on and remain up to date on regulatory developments and industry best practices.
• Interface with regulators, internal audit, and compliance testing teams during related examinations and/or audits for coverage areas.

Requirements

• Bachelor’s degree
• At least 10 years of regulatory compliance experience and current knowledge with focus on capital markets, including fixed income securities.
• Strong organizational and communicationskills and attention to detail.
• Maintains a strong work ethic, is pro-active with ability to work independently and manage ad-hoc projects to conclusion.
• Ability to manage relationships with Business COO, and Controls to foster business change aligned with regulatory expectations.

Qualifications

• Experience in regulatory compliance, particularly in capital markets and fixed income securities.
• Knowledge of FINRA Broker-Dealer, NFA Introducing Broker, and Bank regulations.
• Experience in preparing and updating Compliance policies and supervisory procedures.
• Experience interfacing with regulators, internal audit, and compliance testing teams.
• Strong organizational and communication skills.
• Attention to detail and ability to manage projects independently.
• Experience managing relationships with senior management and controls teams.

Skills

• Regulatory compliance expertise, particularly in capital markets and fixed income securities.
• Strong organizational and communication skills.
• Attention to detail and ability to manage projects independently.
• Experience interfacing with regulators, internal audit, and compliance testing teams.
• Ability to manage relationships with senior management and controls teams.

Benefits

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.

Pay

The expected base salary for this position when employment commences can be found in the Job Info section at the bottom of the posting. Base salary offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience. Base salary is only part of the total rewards package, which may include eligibility for an annual discretionary incentive award.

Schedule

Details of participation in these benefit plans will be provided if an employee receives an offer of employment. If hired, the employee will be in an “at will” position and the Company reserves the right to modify base salary (as well as any other discretionary payments or compensation programs) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.