BNY · 4 months ago
Senior Vice President, Compliance Officer
One Pershing Plaza, Jersey City, NJ, 07399, US
Full-time
Onsite
Mid, Senior Level
$102K/yr - $172K/yr
5+ years expBNY is a leading global financial services company that influences nearly 20% of the world’s investible assets. The Senior Compliance Officer role involves providing regulatory guidance, developing compliance programs, and conducting risk assessments to ensure adherence to financial regulations.
Financial Services
Responsibilities
Experienced Senior Compliance Officer to act as a strategic partner to business leaders responsible for development of advisory tech for the wealth management industry. Provide expert regulatory guidance on new product development, strategic initiatives, and process rollouts, ensuring compliance from inception
Work cross-functionally with other business units to design, implement and maintain a robust compliance program for new and existing business offerings
Conduct risk assessments and collaborate on internal monitoring reviews to identify potential compliance vulnerabilities and implement mitigating controls
Analyze existing and proposed legislation, regulatory announcements, and industry practices, and support the business units to develop and implement procedures and/or controls to meet these requirements
Support the Chief Compliance Officer in managing the compliance programs for a FINRA broker dealer
Qualification
Required
Bachelor's degree or professional certification preferred
5-7 years relevant compliance and/or financial services experience preferred
Thorough knowledge of relevant financial industry rules and regulations (SEC & FINRA)
Solid understanding of compliance and risk management best practices
Proven ability to influence stakeholders at all levels of the organization and drive compliance initiatives in a collaborative, matrixed environment
Preferred
Experience in the review of investment adviser and broker-dealer advertising and marketing materials a plus
Benefits
Highly competitive compensation
Benefits
Wellbeing programs
Flexible global resources and tools
Generous paid leaves
Paid volunteer time
Company
BNY
For more than 240 years BNY has partnered alongside clients, using its expertise and platforms to help them operate more efficiently and accelerate growth.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Brian A. Ruane
CEO Government Securities Services & Global Client Management
Chris Kearns
CEO, Depositary Receipts
Recent News
PR Newswire
2024-11-01
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