Director, Business Compliance Officer - Wealth Compliance

Director, Business Compliance Officer - 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 Director, Business Compliance Officer - Wealth Compliance 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:

• 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.

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 $127,000 and $211,500 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.