Vice President, Regulatory Administration

About the role

The Vice President, Regulatory Administration/ Filings Manager will lead multiple teams of Regulatory Administration and Filings staff, providing legal guidance on SEC filings such as prospectuses, proxy statements, and board minutes. They will implement strategies to monitor regulatory developments and respond accordingly, act as a legal expert in client-facing situations, provide oversight and strategic guidance around legislative issues clients must address during board meetings and regulatory decisions, and manage relationships with clients' accounting firms and liaise with in-house counsel to ensure major filings comply with regulations.

Responsibilities

• Lead multiple teams of Regulatory Administration and Filings staff providing clients with legal guidance on SEC filings such as prospectuses, proxy statements, and board minutes.
• Implement strategies to monitor regulatory developments and respond accordingly, acting as a legal expert in client-facing situations.
• Provide oversight and strategic guidance around legislative issues clients must address during board meetings and regulatory decisions.
• Manage relationships with clients’ accounting firms and liaise with in-house counsel to ensure major filings comply with regulations.

Requirements

• Bachelor’s degree or equivalent combination of education and experience required; JD from an accredited law school preferred.
• 7-10 years of total work experience including 1-3 years in management preferred.
• Experience in the securities or financial services industry preferred.
• Proven ability to recruit, direct, motivate, and develop staff, managing multiple teams and resources effectively.

Qualifications

• Proven leadership skills and experience in managing teams.
• Strong understanding of regulatory requirements and compliance.
• Excellent communication and interpersonal skills.
• Ability to work independently and as part of a team.

Skills

• Strong knowledge of securities laws and regulations.
• Excellent organizational and problem-solving skills.
• Effective written and verbal communication skills.
• Ability to prioritize tasks and manage multiple projects simultaneously.

Benefits

At BNY, our benefits and rewards program includes 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, focusing on your health, fostering your personal resilience, and reaching 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 $175,000 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 will be a 4 day in office per week position.

About BNY

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.

About the Team

Global Operations is a client-service-driven organization whose talented and engaged team is dedicated to providing the most competitive services with the highest standards of ethics, quality, and efficiency to our clients worldwide.

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Awards

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

Equal Employment Opportunity/Affirmative Action Employer

BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

Market Data

BNY assesses market data to ensure a competitive compensation package for our employees.