Senior Director, Compliance (Wealth Services)

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.

- 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.

- 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.