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Senior Director, Compliance (Wealth Services)
senior · Risk & Compliance
We’re seeking a future team member for the role of Senior Director to join our Wealth Services Compliance team, supporting BNY and its affiliates. This role is based in New York City.
In this role, you’ll make an impact in the following ways:
- Serve as a senior compliance advisor to business leadership on regulatory requirements, supervisory expectations and 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 Account Solutions’ business, which provides an integrated platform for multi-asset portfolios. Assist in 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, trading and 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 to identify potential compliance vulnerabilities and implement mitigating controls.
To be successful in this role, we’re seeking the following:
- Bachelor’s degree or professional certification preferred. 15 years relevant compliance and/or financial services experience preferred.
- Expert knowledge of relevant financial industry rules and regulations (SEC & FINRA). Strong understanding of compliance and risk management best practices.
- Experience providing 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.