Senior Vice President, Markets Compliance

About the role

This role can be based in New York City, Pittsburgh, or Lake Mary, FL.

• Strategic partner to business and platform leads, Compliance, Finance, and Operations, responsible for advising various businesses and platforms regarding US broker-dealer laws, rules, and regulations.
• Work cross-functionally with other businesses and platform Compliance coverage on the design, implementation, and maintenance of 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, including board reporting, management reporting, as well as supporting remediation and process enhancements.

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.

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.

About The Team

At BNY, our culture speaks for itself. Check out the latest BNY news at BNY Newsroom & BNY LinkedIn.

• America’s Most Innovative Companies, Fortune, 2025
• World’s Most Admired Companies, Fortune 2025
• “Most Just Companies”, Just Capital and CNBC, 2025

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.

• Eligibility for an annual discretionary incentive award.
• 401(k) plan participation.
• Company-sponsored medical, dental, vision, and basic life insurance plans for the employee and eligible dependents.
• Various paid time off benefits, such as vacation and sick time.

Pay

BNY assesses market data to ensure a competitive compensation package for our employees. The expected base salary for this position when employment commences can be found in the Job Info section 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.