Director, Business Compliance Officer - Wealth Compliance

In this role, you’ll make an impact in the following ways: 

• Independently contribute to the Wealth Compliance program, ensuring alignment with applicable OCC, Consumer banking, SEC, and FINRA regulations, as well as internal risk management and governance frameworks.
• Strong partnership capabilities with business and functional leaders to address regulatory, audit, and examination findings. The candidate must be comfortable hosting discussions and leading presentations with a senior management audience.
• Partner with business leaders to assess compliance implications of new products, activities and services, including advising on the development of relevant controls and ongoing monitoring frameworks. 
• Demonstrated ability to design and implement monitoring, testing, and risk assessment programs across complex and evolving business models.
• Provide oversight of the compliance frameworks, including policies, procedures, monitoring, testing, issue management, and reporting.
• Participate in governance forums and serve as a subject matter expert on compliance matters across Wealth Management.
• Collaborate with technology, product, and operations teams to embed compliance-by-design principles across the full lifecycle of products and services.
• Independently contribute to regulatory engagement for Wealth Management, including preparing for meetings with regulators and responses to examinations or inquiries.
• Proven leadership and influencing skills, with the ability to engage effectively with senior executives, regulators, and cross-functional stakeholders.
• Excellent written and verbal communication skills, strong analytical capabilities, and a solution-oriented mindset.
• Prepare and deliver management reporting, dashboards, and risk assessments for executive leadership and the Board related to compliance matters. 

To be successful in this role, we’re seeking the following: 

• Minimum of 10 years of experience in wealth management or consumer banking advisory compliance roles 
• Highly preferred 5 years’ or more experience in consumer compliance and/or experience with consumer banking compliance and the pertaining laws, regulations and rules of relevant regulators. 
• Strong knowledge of OCC, consumer banking, FINRA and/or SEC regulations 
• Bachelor’s degree required; advanced degree (JD, MBA) and/or relevant certifications preferred.

About UsFor over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers. About the Team

At BNY, our culture speaks for itself, check out the latest BNY news at BNY Newsroom & BNY LinkedIn

 Here’s a few of our recent awards:

• America’s Most Innovative Companies, Fortune, 2025
• World’s Most Admired Companies, Fortune 2025
• “Most Just Companies”, Just Capital and CNBC, 2025

Our Benefits and Rewards:

BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.

BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

BNY assesses market data to ensure a competitive compensation package for our employees. The expected base salary for this position when employment commences can be found in the Job Info section at the bottom of the posting. 

Base salary offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience. Base salary is only part of the total rewards package, which may include eligibility for an annual discretionary incentive award. Subject to the terms and conditions of the applicable plans then in effect, eligible employees may enroll in a 401(k) plan as well as participate in Company-sponsored medical, dental, vision, and basic life insurance plans for the employee and the employee’s eligible dependents. Eligible employees also may receive other benefits (including various paid time off benefits, such as vacation and sick time), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

If hired, the employee will be in an “at will” position and the Company reserves the right to modify base salary (as well as any other discretionary payments or compensation programs) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.