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Full timeFinance

Vice President, Markets Compliance Manager - Financial Services

BNYLake Mary, Florida🇺🇸United StatesPosted Sep 24, 2026

Why this role stands out

This leadership role offers a significant opportunity to shape compliance frameworks within BNY's dynamic financial markets, fostering integrity and driving strategic growth. You'll thrive here if you possess deep expertise in securities regulations and a passion for advising senior leadership while mentoring a talented team in a flexible hybrid environment.

Quick overview

SeniorityLeader
Employment typeFull Time
Work modeHybrid
LocationLake Mary, Florida, United States
Stakeholder ManagementDerivativesFixed IncomeRisk ManagementData Analysis

Job description

BNY Mellon seeks a Senior Vice President, Markets Compliance to lead compliance oversight for its global markets businesses. This role designs and enhances compliance frameworks, policies, and surveillance to meet complex regulatory requirements across trading, markets, and digital solutions. You will advise executives on regulatory change, manage regulatory exams, and partner with business, Legal, Risk, and Technology to embed robust controls. Lead, develop, and mentor a high-performing compliance team while fostering a culture of integrity, conduct risk awareness, and client-focused risk management.

Responsibilities

  • Lead the Markets Compliance function, ensuring adherence to global regulatory requirements across trading and markets businesses
  • Design, implement, and enhance compliance frameworks, policies, and surveillance for market activities
  • Advise senior leadership on regulatory developments, compliance risk, and control enhancements
  • Oversee compliance monitoring, testing, and reporting, escalating issues and remediation plans as needed
  • Partner with business, Legal, Risk, and Technology to embed compliance in products, platforms, and processes
  • Lead regulatory examinations, inquiries, and audits, ensuring timely, transparent responses
  • Drive a culture of integrity, conduct risk awareness, and strong control discipline across global teams
  • Manage, mentor, and develop a high-performing compliance team with clear objectives and metrics

Required Skills

  • Securities and derivatives regulation (SEC, CFTC, FINRA, ESMA)
  • Markets compliance program design
  • Trade and communications surveillance systems
  • Regulatory risk assessment and controls
  • Regulatory exams and inquiries management
  • Policy development and implementation
  • Capital markets products knowledge (equities, fixed income, FX, derivatives)
  • Compliance data analytics and reporting
  • Stakeholder management and executive advising
  • Team leadership and people management

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