Vice President, Compliance and Control--FCC Advisory, Broker Dealer & Investment Management

Position Summary

• Serves as an FCC Advisory associate, primarily supporting BNY’s Investments business within the broader BNY FCC Advisory Team.
• Supports key BNY Investments businesses, including BNY Mellon Securities Corporation and the BNY Family of Funds and ETFs.
• Plays a critical role within the Risk & Regulatory Compliance function and the Compliance & Control job family.
• Supports the integrity of BNY operations by helping maintain compliance with applicable regulatory standards.
• Helps ensure adherence to internal policies, procedures, and external regulatory requirements.
• Promotes BNY’s strategic focus on trust, integrity, accountability, and transparency.
• Requires a strong understanding of compliance frameworks, regulatory expectations, and risk management principles.

Primary Responsibilities

• Develops and implements compliance policies and procedures informed by a strong understanding of regulatory requirements.
• Collaborates with cross-functional teams to embed compliance controls into business processes.
• Monitors and interprets regulatory changes, advising senior management on potential impacts and recommended policy adjustments.
• Supporting the AMLO/FCCO during regulatory inquiries, internal audits, and annual third-party assessments.
• Deputy Money-Laundering Reporting Officer for funds registered in the Cayman Islands.

Education and Qualifications

• Bachelor’s degree in law, business, finance, or a related field.
• Advanced certifications in compliance or risk management, such as CRCM or CAMS, are advantageous.

Experience

Typically requires 5–10 years of relevant compliance, risk, or regulatory experience.

Skills

• Strong analytical and problem-solving skills, with the ability to assess and address compliance issues effectively.
• Excellent communication and interpersonal skills, with the ability to educate, influence, and collaborate with stakeholders across the organization.
• Proven ability to interpret regulatory changes and implement effective compliance strategies.

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.