Vice President, Regulatory Oversight Management

About BNY Investments

BNY Investments is a division of BNY, one of the world’s largest and most-trusted financial services groups. BNY Investments is a leading investment manager, with $2.1 trillion* in assets under management as of June 30, 2024. Through an investor-first approach, the firm brings to clients the best of both worlds: specialist expertise from seven specialist investment managers offering solutions across every major asset class, backed by the strength, stability, and global presence of BNY.

Responsibilities

• Supports the identification and preparation of Substantial Shareholder disclosures and various regulatory reports on a global basis, including requisite data analysis, aggregation, and quality control.
• Collaborates with Regulatory SMEs in implementing and effectively operationalizing requirements driven by Regulator / legislative updates.
• Prepares/oversees a variety of securities-related risk management reports for Senior Management, including ad hoc and monthly reporting.
• Manages and oversees data management, quality control, and investigative research in support of regulatory reporting.
• Communicates with internal and external parties, domestically and internationally, on data enhancement and reconciliation.
• Drives continuous improvement, coordinating with the technology team on automation/enhancement of various processes and reports.
• Leverages AI to streamline and modernize workflows.
• Leads and supports projects and ensures they are completed timely and accurately.
• Makes recommendations on necessary procedural/control changes.
• Serves as a point of escalation for complex reporting matters; coordinates timely responses and maintains strong stakeholder confidence.
• Provides guidance, coaching, and leadership support to team members and contributes to the achievement of team objectives.

Requirements

• Bachelor's degree or the equivalent combination of education and experience is required.
• Advanced/graduate degree preferred.
• 5-8 years of total work experience preferred.
• Proficient with MS Excel required and programming knowledge a plus.
• Knowledge of the financial services industry is required, with experience and familiarity across securities products/services including equities, fixed income, mutual funds, ETFs, depository receipts, derivatives, securities lending and collateral.
• Strong collaborative skills are preferred to work in this collegial team environment.
• Strong communication skills, problem-solving, and basic project management abilities required.
• Prior operational and regulatory experience a plus.

Qualifications

• Experience in financial services, with operational and technical exposure.
• Working knowledge of securities products including equities, fixed income, mutual funds, ETFs, depository receipts, derivatives, securities lending, and collateral.

Skills

• Collaboration and teamwork.
• Communication and problem-solving skills.
• Project management.
• Data analysis and quality control.
• Regulatory compliance and reporting.
• AI and workflow automation.

Benefits

• Competitive compensation package.
• Flexible global resources and tools.
• Health and wellness programs.
• Generous paid leave policies.
• Equal employment opportunity and diversity initiatives.

Pay

The base salary for this position is expected to be between $68,000 and $125,000 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 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.