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Senior Vice President- Markets Compliance Advisory
4 months ago
Bring your ideas. Make history.
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the "bank of banks" - 97% of the world's top banks work with us as we lead and serve our customers into the new era of digital.
With over 238 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we're approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.
We're 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, you'll 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 firm's 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, we're 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 Mellon, our inclusive culture speaks for itself. Here's a few of our awards:
* Fortune World's Most Admired Companies & Top 20 for Diversity and Inclusion
* Bloomberg's Gender Equality Index (GEI)
* Best Places to Work for Disability Inclusion, Disability: IN - 100% score
* 100 Best Workplaces for Innovators, Fast Company
* Human Rights Campaign Foundation, 100% score Corporate Equality Index
* CDP's Climate Change 'A List'
Our Benefits:
BNY Mellon 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 that can support you and your family through moments that matter.
BNY Mellon 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.
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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