Senior Director, Compliance (Wealth Services)

About the role

Serve as a senior compliance advisor to business leadership on regulatory requirements, supervisory expectations and compliance risk matters.
Lead the implementation and oversight of the compliance framework for the Wealth Services business, primarily in relation to US Broker Dealer and Registered Investment Advisor activities.
Lead advisory compliance coverage for BNY’s Managed Account Solutions' business, which provides an integrated platform for multi-asset portfolios.
Assist in navigating client-specific requirements such as tax management, portfolio customization, and reporting across a range of account structures.
Support platform integration with regulated legal entities, including BNY Wealth and Investments businesses, as well as external clients.
Provide compliance advisory support for corporate actions processing, and any issues involving account reconciliation, trading and reporting.

Responsibilities

• Conduct risk assessments and collaborate on internal monitoring reviews to identify potential compliance vulnerabilities and implement mitigating controls.
• Analyze existing and proposed legislation, regulatory announcements, and industry practices, and support the business units to develop and implement procedures and/or controls to meet these requirements.

Requirements

• Bachelor’s degree or professional certification preferred.
• 15 years relevant compliance and/or financial services experience preferred.
• Expert knowledge of relevant financial industry rules and regulations (SEC & FINRA).
• Strong understanding of compliance and risk management best practices.
• Experience providing senior compliance support to wealth management and capital markets businesses.

Qualifications

• Proven ability to influence stakeholders at all levels of the organization and drive compliance initiatives in a collaborative, matrixed environment.

Skills

• Expert knowledge of relevant financial industry rules and regulations (SEC & FINRA).
• Strong understanding of compliance and risk management best practices.
• Experience providing senior compliance support to wealth management and capital markets businesses.

Benefits

About Us
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.

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.

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.