Senior Vice President, Markets Compliance Advisory

Senior Vice President, Markets Compliance Advisory 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 and champions of inclusion, 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. We’re seeking a future team member for the role of Senior Vice President, Markets Compliance Advisory to join our Risk & Compliance team. This role is located in New York City.  In this role, you’ll make an impact in the following ways: Responsible for supporting the ongoing development, implementation and refinement of a comprehensive compliance program for various aspects of our Markets business, with a focus on Fixed Income/Equities products. Provide daily compliance support to sales and trading personnel on real-time issues, business expansion deliverables, and regulatory guidance and rules. Evaluate new products and activities to ensure compliance issues are identified and remediated. Assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk. Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions. Communicate new regulatory requirements simply and efficiently to affected business and other functions/stakeholders to ensure compliance. Responsible for assisting the business units by developing strategies to bring them into compliance with complex regulatory and policy requirements. Contribute to the development of recommendations for corrective action and issue tracking to ensure resolution efforts proceed timely and effectively. Develop and administer compliance training on applicable rules and regulations to business unit personnel. Maintains strong working relationships with outside regulators (SEC and FINRA). Coordinate compliance regulatory examinations, including inquiries and audits, and participate in the coordination of response to these examinations. To be successful in this role, we’re seeking the following:  10-12 years total work experience preferred. Financial Services, Audit or Compliance background and experience with equities, fixed income and derivative products. Familiarity with SEC and FINRA rules and regulations. Bachelor’s degree or the equivalent combination of education and experience is required. Business or Finance degree preferred.  At BNY, our culture speaks for itself, check out the latest BNY news at: BNY Newsroom BNY LinkedIn     Here’s a few of our recent awards:  America’s Most Innovative Companies, Fortune, 2025 World’s Most Admired Companies, Fortune 2025 “Most Just Companies”, Just Capital and CNBC, 2025 Our Benefits and Rewards: BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.    BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.     BNY assesses market data to ensure a competitive compensation package for our employees. The base salary for this position is expected to be between $102,000 and $171,500 per year at the commencement of employment. However, base salary if hired will be determined on an individualized basis, including as to experience and market location, and is only part of the BNY total compensation package, which, depending on the position, may also include commission earnings, discretionary bonuses, short and long-term incentive packages, and Company-sponsored benefit programs. This position is at-will and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation) at any time, including for reasons related to individual performance, change in geographic location, Company or individual department/team performance, and market factors.

Created: 2025-08-01