BNY · 4 hours ago
Director, Business Compliance Officer - Wealth Compliance
New York, NY
Full-time
Onsite
Senior Level, Lead/Staff
$127K/yr - $212K/yr
10+ years expBNY is a leading global financial services company that influences nearly 20% of the world’s investible assets. They are seeking a Director, Business Compliance Officer - Wealth Compliance to ensure alignment with regulatory requirements and oversee compliance frameworks within Wealth Management.
Financial Services
Responsibilities
Independently contribute to the Wealth Compliance program, ensuring alignment with applicable OCC, Consumer banking, SEC, and FINRA regulations, as well as internal risk management and governance frameworks
Strong partnership capabilities with business and functional leaders to address regulatory, audit, and examination findings. The candidate must be comfortable hosting discussions and leading presentations with a senior management audience
Partner with business leaders to assess compliance implications of new products, activities and services, including advising on the development of relevant controls and ongoing monitoring frameworks
Demonstrated ability to design and implement monitoring, testing, and risk assessment programs across complex and evolving business models
Provide oversight of the compliance frameworks, including policies, procedures, monitoring, testing, issue management, and reporting
Participate in governance forums and serve as a subject matter expert on compliance matters across Wealth Management
Collaborate with technology, product, and operations teams to embed compliance-by-design principles across the full lifecycle of products and services
Independently contribute to regulatory engagement for Wealth Management, including preparing for meetings with regulators and responses to examinations or inquiries
Proven leadership and influencing skills, with the ability to engage effectively with senior executives, regulators, and cross-functional stakeholders
Excellent written and verbal communication skills, strong analytical capabilities, and a solution-oriented mindset
Prepare and deliver management reporting, dashboards, and risk assessments for executive leadership and the Board related to compliance matters
Qualification
Required
Minimum of 10 years of experience in wealth management or consumer banking advisory compliance roles
Strong knowledge of OCC, consumer banking, FINRA and/or SEC regulations
Bachelor's degree required
Preferred
Highly preferred 5 years' or more experience in consumer compliance and/or experience with consumer banking compliance and the pertaining laws, regulations and rules of relevant regulators
Advanced degree (JD, MBA) and/or relevant certifications preferred
Benefits
Generous paid leaves, including paid volunteer time
Company
BNY
For more than 240 years BNY has partnered alongside clients, using its expertise and platforms to help them operate more efficiently and accelerate growth.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Brian A. Ruane
CEO Government Securities Services & Global Client Management
Chris Kearns
CEO, Depositary Receipts
Recent News
PR Newswire
2024-11-01
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