Senior Vice President, Compliance Officer

About the role

We are seeking a Senior Compliance Officer to join our BNY Pershing Wealth Services team. This role is located in New York City or Jersey City.

Responsibilities

• Act as a strategic partner to business leaders responsible for developing advisory tech for the wealth management industry. Provide expert regulatory guidance on new product development, strategic initiatives, and process rollouts, ensuring compliance from inception.
• Work cross-functionally with other business units to design, implement, and maintain a robust compliance program for new and existing business offerings.
• 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.
• Support the Chief Compliance Officer in managing the compliance programs for a FINRA broker dealer.

Requirements

• Bachelor's degree or professional certification preferred. 5-7 years relevant compliance and/or financial services experience preferred.
• Thorough knowledge of relevant financial industry rules and regulations (SEC & FINRA). Solid understanding of compliance and risk management best practices.
• Proven ability to influence stakeholders at all levels of the organization and drive compliance initiatives in a collaborative, matrixed environment.
• Experience in the review of investment adviser and broker-dealer advertising and marketing materials a plus.

Qualifications

• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• Ability to work independently and as part of a team.
• Proficiency in Microsoft Office Suite.

Skills

• Compliance and Risk Management
• Regulatory Analysis
• Collaboration and Teamwork
• Advisory Tech Development
• Financial Industry Regulations

Benefits

At BNY, we offer 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 base salary for this position is expected to be between $102,000 and $171,500 per year at the commencement of employment. However, base salary if hired will be determined on an individualized basis, including as to experience and market location, and is only part of the BNY total compensation package, which, depending on the position, may also include commission earnings, discretionary bonuses, short and long-term incentive packages, and Company-sponsored benefit programs.

Schedule

This position is at-will and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation) at any time, including for reasons related to individual performance, change in geographic location, Company or individual department/team performance, and market factors.