Vice President, ETF Advisor Compliance

1 month ago

New York, United States BNY Mellon Full time

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 240 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 VP, ETF ADVISOR COMPLIANCE to join our Investment Management Compliance team. This role is located in New York City, NY - HYBRID.

In this role, you’ll make an impact in the following ways: 

Independently contributes to the compliance efforts of multiple assigned business units. 
Analyzes existing and proposed legislation, regulatory announcements and industry practices to help the assigned businesses develop and implement procedures to meet existing and upcoming requirements.
Maintains strong working relationships with peer compliance teams, senior management, Legal and Risk
Conducts fund and adviser-related compliance program testing and monitoring; assists with preparation of compliance-related board and business line reporting,
Assists with preparation of regulatory reporting (Form ADV; Form PF; etc.), compliance manual maintenance and marketing material review.
Contributes to the development of projects and programs to improve compliance and enhance the control environment. 

To be successful in this role, we’re seeking the following: 

Bachelor‘s degree or the equivalent combination of education and experience is required.
Business or Finance degree preferred. 
7-10 years of total work experience preferred. 
Mutual Fund / ETF Compliance and/or Investment Adviser Compliance experience highly 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, 2023  
Bloomberg’s Gender Equality Index (GEI), 2023
Human Rights Campaign Foundation, Corporate Equality Index, 2023
Best Places to Work for Disability Inclusion, Disability: IN – 100% score, 2023
Dow Jones Sustainability Indices, Top performing company for Sustainability, 2023
Forbes Blockchain 50, 2023

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 assesses market data to ensure a competitive compensation package for our employees. The base salary for this position is expected to be between $90,500 and $161,250 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 - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

https://eofe.fa.us2.oraclecloud.com/hcmUI/CandidateExperience/en/sites/CX_1001/job/53289/?utm_medium=Jobboard&utm_source=Efinancials 

  • Vice President, ETF Advisor Compliance

    4 months ago

    New York, United States THE BANK OF NEW YORK MELLON CORPORATION Full time

    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” - % of the world’s top...

  • Asset & Wealth Management, Head of ETF Marketing, Vice President

    2 weeks ago

    New York, United States Goldman Sachs Full time

    Asset & Wealth Management A career with Goldman Sachs Asset & Wealth Management is an opportunity to help clients across the globe realize their potential, while you discover your own. As part of one of the world's leading asset managers with over $2 trillion in assets under supervision, you can expect to participate in exciting investment opportunities...

  • Vice President, ETF Product Management

    2 months ago

    New York, United States BNY Full time

    BNY 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...

  • Vice President, ETF Product Management

    2 months ago

    New York, New York, United States BNY Mellon Full time

    BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the worlds 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...

  • Vice President, ETF Product Management

    2 months ago

    New York, United States BNY Full time

    BNY 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...

  • Senior Vice President, Capital Markets and Investment Banking

    2 weeks ago

    New York, New York, United States Advisor Group Full time

    Advisor Group Careers Senior Vice President, Capital Markets and Investment Banking - Healthcare Sector Advisor Group is seeking a seasoned Senior Vice President to join our healthcare investment banking division. The ideal candidate will possess a robust background in private placements, PIPE transactions, registered directs, and follow-on offerings, along...

  • Compliance Vice President

    3 days ago

    New York, New York, United States Cardea Group Full time

    Compliance Leader for Asset-Based FinanceCardea Group is seeking a seasoned Compliance professional to lead our Asset-Based Finance team. As a Compliance Vice President, you will be responsible for managing key compliance-related projects and initiatives, collaborating closely with senior and junior team members to advance projects, support business growth,...

  • Vice President, Investment Strategist

    2 months ago

    New York, United States BNY Mellon Full time

    VICE PRESIDENT, INVESTMENT STRATEGISTAt BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create...

  • Portfolio Manager, ETFs

    3 weeks ago

    New York, United States Beacon Full time

    Overview Our client, is an ETF Issuer specializing in digital assets, is seeking a Portfolio Manager to lead the digital asset and equity portfolios, ranging from ETFs to private placement trusts. You will support the expansion of our current product line and the launch of new investment products. Your responsibilities - Daily track portfolio positions,...

  • Vice President of Compliance Oversight

    2 weeks ago

    New York, New York, United States Barclays Full time

    Role OverviewAs the Vice President of Compliance Oversight at Barclays, you will play a pivotal role in supporting the Americas Chief Compliance Office. Your primary responsibility will be to assist the Director in generating management information and insights related to the firm's compliance with applicable laws and regulations, ensuring that Compliance...

  • Senior Vice President of Compliance

    2 weeks ago

    New York, New York, United States The Goldman Sachs Group, Inc. Full time

    Position OverviewSenior Vice President of Compliance at The Goldman Sachs Group, Inc.This role involves overseeing compliance measures and providing essential guidance on conducting operations in alignment with relevant rules, regulations, and industry standards.Key ResponsibilitiesEnsure adherence to compliance protocols and regulatory requirements.Offer...

  • Vice President Compliance

    3 months ago

    New York, United States Social Capital Resources Full time

    Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risksMaintain business line and support function policies and procedures addressing compliance requirements, including...

  • Vice President Compliance

    3 months ago

    New York, United States Social Capital Resources Full time

    Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risksMaintain business line and support function policies and procedures addressing compliance requirements, including...

  • Vice President of Private Equity

    2 weeks ago

    New York, New York, United States Selby Jennings Full time

    Vice President of Private Equity:A prominent firm specializing in industrial investments within the Middle Market is seeking to fill the role of Vice President. With assets under management exceeding $600 million, this organization boasts a robust history of providing significant returns to its investors and has effectively raised and allocated multiple...

  • Head of ETF Capital Markets

    2 months ago

    New York, United States Selby Jennings Full time

    A large asset manager in NY is looking to bring on a Head of Capital Markets to their new ETF platform.Major Responsibilities/Activities:Establish, develop and manage relationships across the ETF ecosystemInstitute partnerships and collaborate with custodians, medallion distributors and primary listing exchanges.Take an active role in ETF product and...

  • Head of ETF Capital Markets

    2 months ago

    New York, United States Selby Jennings Full time

    A large asset manager in NY is looking to bring on a Head of Capital Markets to their new ETF platform.Major Responsibilities/Activities:Establish, develop and manage relationships across the ETF ecosystemInstitute partnerships and collaborate with custodians, medallion distributors and primary listing exchanges.Take an active role in ETF product and...

  • Vice President Compliance Monitoring

    3 months ago

    New York, United States Coda Search│Staffing Full time

    Job DescriptionThis Vice President – Compliance Monitoring and Testing The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working with regional testing teams across the globe.Compliance Monitoring and Testing Execute the annual Compliance testing and monitoring plan Determine scope of...

  • Vice President Compliance Monitoring

    3 months ago

    New York, United States Coda Search│Staffing Full time

    Job DescriptionThis Vice President – Compliance Monitoring and Testing The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working with regional testing teams across the globe.Compliance Monitoring and Testing Execute the annual Compliance testing and monitoring plan Determine scope of...

  • Vice President of Client Relations

    1 week ago

    New York, New York, United States Gold Bullion International LLC Full time

    Job OverviewCompany Background:Gold Bullion International LLC (GBI) is a dynamic fintech and commodities firm, established to revolutionize the way wealth management professionals access physical precious metals for their clientele. Our advanced technology is integrated with leading wealth management firms and supports retail applications worldwide.Role...

  • Vice President of Client Relations

    2 weeks ago

    New York, New York, United States Gold Bullion International LLC Full time

    Job OverviewCompany Background:Gold Bullion International LLC (GBI) is a leading fintech and commodities firm established in 2009, dedicated to revolutionizing the way wealth management professionals access physical precious metals for their clientele. Our advanced technology seamlessly integrates with some of the world’s premier wealth management...