Senior Director, Compliance (Wealth Services)

We’reseeking a future team member for the role ofSenior Directorto join ourWealth ServicesCompliance team,supporting BNY and its affiliates. This roleisbased inNew York City.

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

• Serve asasenior complianceadvisorto business leadershipon regulatory requirements, supervisoryexpectationsand compliance risk matters.
• Lead the implementation and oversight of the compliance framework for the Wealth Services business, primarily in relation to US Broker Dealer and Registered Investment Advisor activities.
• Lead advisory compliance coverage for BNY’s Managed AccountSolutions’business, which provides an integrated platform for multi-asset portfolios.Assistin navigating client-specific requirements such as tax management, portfolio customization, and reporting across a range of account structures. Support platform integration with regulated legal entities, including BNY Wealth and Investments businesses, as well as external clients.
• Provide compliance advisory support for corporate actions processing, and any issues involving account reconciliation,tradingand reporting
• 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.
• Conduct risk assessments and collaborate on internal monitoring reviews toidentifypotential compliance vulnerabilities and implement mitigating controls.

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

• Bachelor’s degree or professional certification preferred.15years relevant compliance and/or financial services experience preferred.
• Expertknowledge of relevant financial industry rules and regulations (SEC & FINRA). Strongunderstanding of compliance and risk management best practices.
• Experienceproviding senior compliance support to wealth management and capital markets businesses.
• This is a high-visibility role for a candidate who is eager to proactively manage risk and influence positive business outcomes in a fast-paced, innovative environment.
• Proven ability to influence stakeholders at all levels of the organization and drive compliance initiatives in a collaborative, matrixed environment.