What are the responsibilities and job description for the Senior Director, Wealth Compliance position at BNY External Career Site?
Senior Director, Wealth Compliance
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 Senior Director, Wealth Compliance to join our Wealth Compliance program team. This role is located in New York, New York.
In this role, you’ll make an impact in the following ways:
- Support the compliance program for Wealth Management, ensuring alignment with applicable OCC, SEC, and FINRA regulations as well as internal risk and governance frameworks.
- Serve as a trusted advisor to business leadership on regulatory matters relating to investment management, fiduciary, and brokerage activities, while actively supporting strategic transformation across GIW and Wealth Services platforms.
- Partner with senior leadership to drive strategic priorities, including brokerage, ensuring compliance frameworks evolve alongside digital and business innovation.
- Partner with product, risk, and operations teams to ensure compliance frameworks are embedded throughout the client lifecycle—from onboarding and suitability to ongoing account reviews, performance reporting, and disclosure.
- Participate in regulatory engagement with the OCC, SEC, and FINRA.
- Oversee compliance for FINRA-registered activities, including supervision of sales practices, suitability, communications, and adherence to Reg BI, suitability, etc.
- Collaborate with technology, product, and operations teams to embed compliance requirements into wealth across the client lifecycle.
- Lead, coach, and develop a high-performing compliance team, setting clear priorities and performance expectations aligned to strategic goals.
- Prepare regular management reports, dashboards, and risk assessments for executive leadership and the Board
- Drive continuous improvement across compliance processes, technology, and culture.
To be successful in this role, we’re seeking the following:
- 15 years of advisory compliance, legal, or regulatory experience within private wealth management, investment management, or broader financial services.
- Strong knowledge of U.S. regulatory frameworks, including OCC, SEC, FINRA, AML/KYC, and cross-border wealth management requirements.
- Direct experience supporting or managing compliance for FINRA-, SEC-, and/or OCC-regulated entities (e.g., broker dealers, national banks, trust companies, or bank-affiliated wealth management businesses).
- Demonstrated expertise in compliance oversight for brokerage and/or alternative investments.
- Proven ability to design and implement monitoring, testing, and risk-assessment programs across complex business models.
- Strong leadership, influencing, and collaboration skills—able to engage effectively with senior executives and cross-functional partners.
- Excellent communication and analytical skills, with a solution-oriented mindset.
- Bachelor’s degree required; advanced degree (JD, MBA) or certifications are a plus.
At BNY, our culture speaks for itself, check out the latest BNY news at:
BNY Newsroom
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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 $136,500 and $300,000 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.
Salary : $136,500 - $300,000