Bring your ideas. Make history. BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are 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. 

With over 238 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we’re approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about. 

We’re seeking a future team member for the role of Vice President, Compliance & Control (Registration) to join our Risk & Compliance team. This role is located in Lake Mary, FL or Pittsburgh, PA - HYBRID

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

As a member of the Registration & Training team within Compliance, you will be responsible for adhering to regulatory requirements surrounding 3 of the Firm’s broker-dealers and other entities. Duties will include:

• Individual registration of individuals via FINRA Gateway.
• Maintenance of individual registrations: Continuing Education, Disclosure, Location
• Branch Office Registration
• Contact System, Form BD Filings, E-Bill
• Swap Dealer and Security-based Swap Dealer registrations via SEC EDGAR system
• Municipal Advisor registrations via the MSRB.
• Government securities registrations via the FRB.

In addition, you will be responsible for assisting with formulating the Training Needs Analysis, Annual Training Plans and Annual Compliance Meeting for the broker-dealers and the MSRB.

You will be working as part of the Registration & Training team. The duties are varied and offer unique challenges as well as opportunities to learn more about the registration process.

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

• Bachelor’s degree or Equivalent work experience 
• 5-7 Years of experience within Compliance / Registration & Training 
• Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred..

At BNY Mellon, our inclusive culture speaks for itself. Here’s a few of our awards: 

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

Our Benefits: 

BNY Mellon 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 that can support you and your family through moments that matter. 

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.