Senior Vice President, Compliance & Control (Investments Compliance)

Job description

We’re seeking a future team member for the role of Senior Vice President, Compliance and Control to join our BNY Investments team. This role is located in Boston This role will support multiple affiliated SEC Registered Investment Advisers (RIAs). You will support robust compliance program within BNY Investments. You’ll partner closely with business leaders and senior management to ensure policies, controls, and monitoring processes meet all regulatory requirements. In this role, you’ll make an impact in the following ways: - Assist the Chief Compliance Officer in developing investment adviser compliance programs and ensuring compliance with all applicable laws, regulations and industry best practices. - Develop, review, and enhance policies in accordance with the Investment Advisers Act and other applicable regulations, ensuring alignment with regulatory requirements and industry best practices - Prepare key regulatory filings - Prepare compliance risk assessments - Assist with regulatory examinations and inquiries To be successful in this role, we’re seeking the following: At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a lead...