Vice President- Markets Compliance Advisory

10-12 yrs required

Full-time

No

## Vice President- Markets Compliance Advisory

**The Role**

BNY Mellon is seeking a Vice President to join its Markets Compliance Advisory team. This is a hybrid role located in either New York, NY or Boston, MA.

**Responsibilities**

- Develop, implement and refine a comprehensive compliance program for the Outsourced Trading Line of Business within the firm’s registered broker-dealer, BNY Mellon Capital Markets, LLC.
- Provide daily compliance support to Outsourced Trading sales and trading personnel on real-time issues, business expansion deliverables, and regulatory guidance and rules.
- Evaluate new products and activities to ensure compliance issues are identified and remediated.
- Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions.
- Assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk.
- Communicate new regulatory requirements simply and efficiently to affected business and other functions/stakeholders to ensure compliance.
- Develop strategies to bring business units into compliance with complex regulatory and policy requirements. Contribute to the development of recommendations for corrective action and issue tracking to ensure resolution efforts proceed timely and effectively.
- Develop and administer compliance training on applicable rules and regulations to business unit personnel.
- Maintain strong working relationships with outside regulators (SEC, FINRA, NFA). Coordinate compliance regulatory examinations, including inquiries and audits, and participate in the coordination of response to these examinations.

**Qualifications**

- 10-12 years experience
- Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or with equities, fixed income, derivatives, futures and swap products preferred.
- Familiarity with SEC, FINRA, NFA and CFTC rules and regulations preferred.
- JD or Business degree preferred

**Compensation**

BNY Mellon offers a competitive compensation package, including base salary between $98,000 and $200,000 per year at the commencement of employment. This is part of the BNYM total compensation package, which may also include commission earnings, discretionary bonuses, short and long-term incentive packages, and Company-sponsored benefit programs.

**About BNY Mellon**

BNY Mellon is one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the “bank of banks” - 97% of the world’s top banks work with us as we lead and serve our customers into the new era of digital.

At BNY Mellon, our inclusive culture speaks for itself. We offer a variety of awards and recognition, such as:

- Fortune World’s Most Admired Companies & Top 20 for Diversity and Inclusion
- Bloomberg’s Gender Equality Index (GEI)
- Best Places to Work for Disability Inclusion, Disability: IN – 100% score
- 100 Best Workplaces for Innovators, Fast Company
- Human Rights Campaign Foundation, 100% score Corporate Equality Index
- CDP’s Climate Change ‘A List’

We also offer highly competitive benefits, such as 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 that can support you and your family through moments that matter.

Competitive compensation, benefits, and wellbeing programs

Financial Services Compliance, Equities, Fixed Income, Derivatives, Futures and Swap Products

JD or Business degree preferred

Visit BNY Mellon website to apply

Qualification and Experience 10-12 years experience, JD or Business degree preferred

Legal