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BNY · 3 weeks ago

Vice President, Compliance & Control (Wealth Management)

New York, NY

Full-time

Onsite

Mid, Senior Level

$83K/yr - $140K/yr

7+ years exp

BNY is a leading global financial services company that influences nearly 20% of the world’s investible assets. The Vice President, Compliance & Control will provide compliance advice to the wealth management business and monitor regulatory developments to ensure ongoing compliance with applicable laws and internal policies.

Financial Services

Responsibilities

Providing compliance advice to the wealth management business, including investment management, alternative investments, fiduciary and custody services

Providing subject matter expertise in OCC regulations, as well as Cayman Islands regulations and state fiduciary requirements

Monitoring regulatory developments and assessing their impact on business operations

Conducting surveillance and monitoring activities to ensure ongoing compliance with applicable laws and internal policies

Supporting the execution of compliance risk assessment including analysis of inherent regulatory/compliance risks and the effectiveness of controls to mitigate those risks

Collaborating with key business and risk stakeholders to ensure timely resolution of any regulatory remediation efforts

Qualification

Compliance expertiseOCC regulations knowledgeAlternative investments knowledgeRegulatory monitoringCommunication skillsProblem-solvingOrganizational skills

Required

Minimum of 7 years' experience in the financial services industry or other equivalent work experience with knowledge of alternative investments and OCC asset management regulations

Strong written and verbal communication skills

High energy and able to operate independently in a fast-paced environment with the organization skills to meet deadlines

Detail-oriented with a proactive approach to problem-solving