Senior Vice President- Markets Compliance Advisory

1 week ago

Boston, United States BNY Mellon Full time

Overview

Senior Vice President - Markets Compliance Advisory

At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the worlds financial system we touch nearly 20% of the worlds investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere.

We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what #LifeAtBNY is all about.

Were seeking a future team member for the role of Vice President to join our Markets Compliance Advisory team. This role is a hybrid role and is located in either New York, NY or Boston, MA.

In this role, youll make an impact in the following ways:

  • Responsible for the ongoing development, implementation and refinement of a comprehensive compliance program for the Outsourced Trading Line of Business within the firms registered broker-dealer, BNY Mellon Capital Markets, LLC.
  • Provide daily compliance support to Outsourced Trading sales and trading personnel on real-time issues, business expansion deliverables, and regulatory guidance and rules.
  • Evaluate new products and activities to ensure compliance issues are identified and remediated.
  • Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions.
  • Assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk.
  • Communicate new regulatory requirements simply and efficiently to affected business and other functions/stakeholders to ensure compliance.
  • Responsible for assisting the business units by developing strategies to bring them into compliance with complex regulatory and policy requirements. Contribute to the development of recommendations for corrective action and issue tracking to ensure resolution efforts proceed timely and effectively.
  • Develop and administer compliance training on applicable rules and regulations to business unit personnel.
  • Maintains strong working relationships with outside regulators (SEC, FINRA, NFA). Coordinate compliance regulatory examinations, including inquiries and audits, and participate in the coordination of response to these examinations.

To be successful in this role, were seeking the following:

  • 10-12 years experience
  • Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or with equities, fixed income, derivatives, futures and swap products preferred.
  • Familiarity with SEC, FINRA, NFA and CFTC rules and regulations preferred.
  • JD or Business degree preferred

At BNY, our culture speaks for itself. Heres a few of our awards:

  • Americas Most Innovative Companies, Fortune, 2024
  • Worlds Most Admired Companies, Fortune 2024
  • Human Rights Campaign Foundation, Corporate Equality Index, 100% score, 2023-2024
  • Best Places to Work for Disability Inclusion, Disability: IN 100% score, 2023-2024
  • Most Just Companies, Just Capital and CNBC, 2024
  • Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024
  • Bloombergs Gender Equality Index (GEI), 2023


Our Benefits and Rewards:

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 lifes 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.

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


BNY Mellon assesses market data to ensure a competitive compensation package for our employees. The base salary for this position is expected to be between $98,000 and $200,000 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 BNYM 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.
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.

Employer Description:

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.

EEO Statement:

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans. Our ambition is to build the best global team one that is representative and inclusive of the diverse talent, clients and communities we work with and serve and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

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