Vice President, Compliance & Control

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

• Partner with business, legal, risk, operations, and other control functions to assess regulatory requirements, resolve compliance matters, support effective governance across business activities, and oversee broker-dealer and bank compliance activities, including outside business activity reviews, personal securities transaction oversight, private placement approvals, customer complaint handling and reporting, G&E tracking, and Rep registrations.

• Review marketing materials from a global compliance perspective and provide guidance to ensure alignment with applicable regulatory and internal policy requirements.

• Monitor regulatory developments through horizon scanning processes, evaluate potential business impact, and coordinate appropriate follow-up actions with relevant stakeholders.

• Develop, maintain, and periodically review policies and standard operating procedures. Prepare and support annual compliance meetings and annual compliance questionnaires for registered individuals.

• Support compliance testing and monitoring programs, including e-communication surveillance and other controls designed to identify, escalate, and remediate compliance risks.

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

• Individual contributor experience with a bachelor’s degree or MBA required; FINRA Series 7 & 24 license required, based on role requirements.

• Strong communication, presentation, and stakeholder management skills, with the ability to engage effectively with internal business partners, control functions, senior stakeholders, and regulatory bodies.

• Proven ability to manage regulatory queries, information requests, and related follow-ups in a timely, accurate, and professionally coordinated manner.

• Strong working knowledge of applicable laws, rules, and regulations issued by relevant regulators across the U.S., Europe, and other global jurisdictions.

• Hands-on experience using AI-enabled tools and the ability to identify and implement AI-driven solutions that improve compliance processes, efficiency, and risk management outcomes.

About Us

At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.

Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.