Vice President, Broker-Dealer Compliance Position Available In Seminole, Florida

Job Description:

At BNY, our culture empowers you to grow and succeed. As aleading global financial services company at the center of theworld’s financial system we touch nearly 20% of the world’sinvestible assets. Every day around the globe, our 50,000 employeesbring the power of their perspective to the table to createsolutions with our clients that benefit businesses, communities andpeople everywhere. We continue to be a leader in the industry,awarded as a top home for innovators and for creating an inclusiveworkplace. Through our unique ideas and talents, together we helpmake money work for the world. This is what LifeAtBNY is all about.

We’re seeking a future team member for the role of Vice President -Broker-Dealer Compliance to join our BNY team. This role is locatedin Pittsburgh, PA or Lake Mary, Fl and is HYBRID. In this role,you’ll make an impact in the following ways: Support the firm’soverall Compliance Program Develop and maintain Policies andProcedures Support testing, training, email surveillance,advertising review Monitor regulatory changes and its impact tobusiness lines Assist with managing regulatory exams and inquiriesTo be successful in this role, we’re seeking the following: Series7 and 24 At least 3 years of compliance experience with abroker-dealer Knowledge and experience with FINRA and SEC rulesAdvertising review experience a plus Ability to multi-task,problem-solve and think critically At BNY, our culture speaks foritself. Here’s a few of our awards: America’s Most InnovativeCompanies, Fortune, 2024 World’s Most Admired Companies, Fortune2024 Human Rights Campaign Foundation, Corporate Equality Index,100% score, 2023-2024 Best Places to Work for

Disability Inclusion, Disability:

IN – 100

% score, 2023-2024 “Most Just Companies”,Just Capital and

CNBC, 2024

Dow Jones Sustainability Indices, Topperforming company for Sustainability, 2024 Bloomberg’s GenderEquality Index (GEI), 2023

Our Benefits and Rewards:

BNY offershighly competitive compensation, benefits, and wellbeing programsrooted in a strong culture of excellence and ourpay-for-performance philosophy. We provide access to flexibleglobal resources and tools for your life’s journey. Focus on yourhealth, foster your personal resilience, and reach your financialgoals as a valued member of our team, along with generous paidleaves, including paid volunteer time, that can support you andyour family through moments that matter. BNY is an Equal EmploymentOpportunity/Affirmative Action Employer – Underrepresented racialand ethnic groups/Females/Individuals with Disabilities/ProtectedVeterans.