The Company is in search of a Senior Vice President for its Markets Compliance team, with a focus on supporting the US Broker Dealer. The successful candidate will serve as a strategic partner to business and platform leads, Compliance, Finance, and Operations, providing expert advice on US broker dealer laws, rules, and regulations. This high-visibility role requires a proactive approach to managing risk and influencing positive business outcomes in a fast-paced, innovative environment. Responsibilities include working cross-functionally to design, implement, and maintain a robust compliance program, conducting risk assessments, and collaborating on internal monitoring reviews. The role also involves analyzing legislation, regulatory announcements, and industry practices to ensure compliance and supporting the Chief Compliance Officer in managing compliance programs for a FINRA broker dealer. Applicants for this role at the company should have a Bachelor’s degree or professional certification, with 5-7 years of relevant compliance and/or financial services experience. A thorough knowledge of SEC and FINRA regulations, as well as solid understanding of compliance and risk management best practices, is essential. The ideal candidate will have a proven ability to influence stakeholders at all levels and drive compliance initiatives in a collaborative, matrixed environment. Experience in the review of investment adviser and broker-dealer advertising and marketing materials is a plus. The company values a culture of excellence and is an Equal Employment Opportunity/Affirmative Action Employer.

Hiring Company

BNY