Vice President, Markets Compliance Manager - Financial Services

BNY is seeking a Vice President, Markets Compliance to lead compliance oversight for trading, capital markets, and securities businesses. This role designs, implements, and enhances compliance frameworks, policies, and surveillance to meet global regulatory requirements. The VP advises senior leadership on regulatory risk, conducts risk assessments, reviews new products, and manages regulatory exams and inquiries. You will partner with front office, risk, and legal teams, drive training and culture of integrity, and lead or mentor compliance professionals while supporting innovative and digital market solutions.

Responsibilities

• Lead compliance oversight for markets, trading, and capital markets activities

• Design and implement compliance frameworks, policies, and controls

• Conduct compliance risk assessments and monitoring programs

• Oversee trade surveillance, investigations, and issue remediation

• Advise senior management on regulatory developments and risks

• Support new product and business initiatives with compliance review

• Manage or coordinate regulatory exams, inquiries, and reporting

• Develop and deliver compliance training across markets businesses

• Collaborate with front office, legal, and risk partners globally

• Lead or mentor compliance team members and drive continuous improvement Required Skills

• Securities regulations (SEC, FINRA)

• Global markets products knowledge

• Compliance risk assessment

• Trade surveillance systems

• Policy development and governance

• Regulatory reporting

• Regulatory exam management

• Compliance monitoring and testing

• Data analysis and MI reporting

• Stakeholder and senior executive communication