Job Description

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

• 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.

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

• Minimum of 10 years of experience in wealth management or consumer banking advisory compliance roles
• 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.
• Strong knowledge of OCC, consumer banking, FINRA and/or SEC regulations
• Bachelor’s degree required; advanced degree (JD, MBA) and/or relevant certifications preferred.

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.