Vice President, Business Compliance Officer - Wealth Compliance

VP, Business Compliance Officer - Wealth Compliance

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, 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 VP, Business Compliance Officer - Wealth Compliance to join our Risk and Compliance team. This role is located in New York City.

In this role, you'll make an impact in the following ways:

* 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 the compliance team 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.

* Support compliance team 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.

* 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 cross-functional stakeholders and business partners in assigned coverage area.

* Excellent written and verbal communication skills, strong analytical capabilities, and a solution-oriented mindset.

* Assist in the preparation of management reporting, dashboards, and risk assessments for executive leadership and the Board related to compliance matters.

To be successful in this role, we're seeking the following:

* Minimum of 5 years of experience in wealth management or consumer banking advisory compliance roles

* Highly preferred 3 years' or more experience in consumer compliance and/or experience with consumer banking, compliance and the pertaining laws, regulations and rules of relevant regulators. Trust and fiduciary subject matter expertise a plus.

* Strong knowledge of OCC, consumer banking, FINRA and/or SEC regulations

* Bachelor's degree required; advanced degree (JD, MBA) and/or relevant certifications preferred.

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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…