Senior Vice President, Compliance & Control (Investments Compliance)

About the role

We're seeking a future team member for the role of Senior Vice President, Compliance and Control to join our BNY Investments team. This role is located in Boston.

Responsibilities

• Support multiple SEC Registered Investment Advisers (RIAs) within BNY Investments.
• Support a robust compliance program within BNY Investments.
• Partner closely with business leaders and senior management to ensure policies, controls, and monitoring processes meet all regulatory requirements.
• Assist the Chief Compliance Officer in developing investment adviser compliance programs and ensuring compliance with all applicable laws, regulations, and industry best practices.
• Develop, review, and enhance policies in accordance with the Investment Advisers Act and other applicable regulations, ensuring alignment with regulatory requirements and industry best practices.
• Prepare key regulatory filings.
• Prepare compliance risk assessments.
• Assist with regulatory examinations and inquiries.

Requirements

• Bachelor's degree; MBA preferred
• Minimum of 10-12 years of experience in a compliance role in the asset management industry, with a focus on the Investment Advisers Act. Alternatives experience a plus.
• Excellent oral and written communication skills
• Ability to independently analyze complex regulatory and business issues, propose pragmatic solutions, and drive timely execution
• Strong project-management skills and ability to juggle priorities across multiple affiliated lines of business

Qualifications

• Experience in the asset management industry, with a focus on the Investment Advisers Act.
• Knowledge of regulatory requirements and industry best practices.
• Strong analytical and problem-solving skills.
• Effective communication and interpersonal skills.
• Ability to manage multiple tasks and projects simultaneously.

Skills

• Compliance expertise
• Regulatory knowledge
• Project management
• Communication skills

Benefits

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.

Pay

Negotiable based on experience and qualifications.

Schedule

Full-time position.

Company Description

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 #LifeAtBNY is all about. Join us and be part of something extraordinary.

How to Apply

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