Senior Director, Compliance (Wealth Services)
HybridNew York City, New York, United States or New York, United States
Job Summary
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. Provide advisory coverage for Managed Account Solutions, assisting with client-specific requirements such as tax management, portfolio customization, and reporting. Analyze existing and proposed legislation to develop procedures and controls, while conducting risk assessments and internal monitoring reviews to identify vulnerabilities and implement mitigating controls. This high-visibility role supports BNY and its affiliates in navigating complex regulatory landscapes within a fast-paced, innovative environment.
Required Qualifications
- 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
- Proven ability to influence stakeholders at all levels of the organization and drive compliance initiatives in a collaborative, matrixed environment
Desired Qualifications
- Bachelor's degree or professional certification preferred
- 15 years relevant compliance and/or financial services experience preferred
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