Vice President, Compliance & Control (Wealth Management) at BNY

New York, New York, United States -

Full Time

Start Date

Immediate

Expiry Date

11 Apr, 26

Salary

139500.0

Posted On

11 Jan, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Investment Management, Alternative Investments, Regulatory Monitoring, Surveillance, Risk Assessment, Communication, Problem-Solving, Detail-Oriented, OCC Regulations, Cayman Islands Regulations, Fiduciary Requirements, Collaboration, Fast-Paced Environment, Organizational Skills, Proactive Approach

Industry

Financial Services

Description

Vice President, Compliance & Control (Wealth Management) 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 Vice President, Compliance & Control (Wealth Management) to join our Risk & Compliance team. This role is located in New York City. In this role, you’ll make an impact in the following ways: Providing compliance advice to the wealth management business, including investment management, alternative investments, fiduciary and custody services. Providing subject matter expertise in OCC regulations, as well as Cayman Islands regulations and state fiduciary requirements. Monitoring regulatory developments and assessing their impact on business operations. Conducting surveillance and monitoring activities to ensure ongoing compliance with applicable laws and internal policies. Supporting the execution of compliance risk assessment including analysis of inherent regulatory/compliance risks and the effectiveness of controls to mitigate those risks. Collaborating with key business and risk stakeholders to ensure timely resolution of any regulatory remediation efforts. To be successful in this role, we’re seeking the following: Preferred candidate should have a minimum of 7 years' experience in the financial services industry or other equivalent work experience with knowledge of alternative investments and OCC asset management regulations. Strong written and verbal communication skills. High energy and able to operate independently in a fast-paced environment with the organization skills to meet deadlines. Detail-oriented with a proactive approach to problem-solving. At BNY, our culture speaks for itself, check out the latest BNY news at: BNY Newsroom BNY LinkedIn Here’s a few of our recent awards: America’s Most Innovative Companies, Fortune, 2025 World’s Most Admired Companies, Fortune 2025 “Most Just Companies”, Just Capital and CNBC, 2025 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 Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans. BNY assesses market data to ensure a competitive compensation package for our employees. The base salary for this position is expected to be between $83,000 and $139,500 per year at the commencement of employment. However, base salary if hired will be determined on an individualized basis, including as to experience and market location, and is only part of the BNY total compensation package, which, depending on the position, may also include commission earnings, discretionary bonuses, short and long-term incentive packages, and Company-sponsored benefit programs. This position is at-will and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation) at any time, including for reasons related to individual performance, change in geographic location, Company or individual department/team performance, and market factors.

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Responsibilities

The Vice President, Compliance & Control will provide compliance advice to the wealth management business and monitor regulatory developments. They will also conduct surveillance activities to ensure compliance with laws and internal policies.