Senior Director, Compliance – Wealth Services

BNY

. Serve as a senior compliance advisor to business leadership on regulatory requirements, supervisory expectations, and compliance risk matters .

Posted 10/16/2026full-timeUnited StatesSenior💰 $136,500 - $300,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive expertise in compliance advisory for Wealth Services, with a strong focus on SEC and FINRA regulations, risk management best practices, and stakeholder influence. Proven ability to implement compliance frameworks and conduct risk assessments in a collaborative environment.

Highest-signal resume keywords

Expert Knowledge Of SEC RegulationsExpert Knowledge Of FINRA RegulationsCompliance Risk ManagementWealth Management Compliance SupportStakeholder Influence

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Framework ImplementationRisk AssessmentRegulatory AnalysisCompliance Vulnerability IdentificationCorporate Actions ProcessingAccount ReconciliationTrading ComplianceReporting Compliance

Soft Skills

Collaborative LeadershipInfluencing Stakeholders

Certifications & Qualifications

Bachelor’s DegreeProfessional Certification

Industry Keywords

Financial ServicesWealth ServicesBroker DealerRegistered Investment AdvisorManaged Account SolutionsCompliance Best Practices

About the role

Key responsibilities & impact

Serve as a senior compliance advisor to business leadership on regulatory requirements, supervisory expectations, and compliance risk matters
Lead implementation and oversight of the compliance framework for the Wealth Services business, primarily for US Broker Dealer and Registered Investment Advisor activities
Lead advisory compliance coverage for BNY’s Managed Account Solutions business
Navigate client-specific requirements including tax management, portfolio customization, and reporting across account structures
Support platform integration with regulated legal entities, including BNY Wealth and Investments businesses, and external clients
Provide compliance advisory support for corporate actions processing, account reconciliation, trading, and reporting issues
Analyze legislation, regulatory announcements, and industry practices
Support business units in developing and implementing procedures and controls
Conduct risk assessments and collaborate on internal monitoring reviews
Identify compliance vulnerabilities and implement mitigating controls

Requirements

What you’ll need

Bachelor’s degree or professional certification preferred
15 years relevant compliance and/or financial services experience preferred
Expert knowledge of SEC and FINRA rules and regulations
Strong understanding of compliance and risk management best practices
Experience providing senior compliance support to wealth management and capital markets businesses
Proven ability to influence stakeholders at all organizational levels
Ability to drive compliance initiatives in a collaborative, matrixed environment

Benefits

Comp & perks

Highly competitive compensation
Flexible global resources and tools
Wellbeing programs
Generous paid leaves, including paid volunteer time
Annual discretionary incentive award eligibility
401(k) plan
Company-sponsored medical insurance
Company-sponsored dental insurance
Company-sponsored vision insurance
Basic life insurance for the employee and eligible dependents
Vacation and sick time
Flexible work arrangement (hybrid)