Vice President, Broker-Dealer Compliance

Location: Lake Mary
Posted on: June 23, 2025

Job Description:

At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000 employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere. We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make 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 located in Pittsburgh, PA or Lake Mary, Fl and is HYBRID. In this role, you’ll make an impact in the following ways: Support the firm’s overall Compliance Program Develop and maintain Policies and Procedures Support testing, training, email surveillance, advertising review Monitor regulatory changes and its impact to business lines Assist with managing regulatory exams and inquiries To be successful in this role, we’re seeking the following: Series 7 and 24 At least 3 years of compliance experience with a broker-dealer Knowledge and experience with FINRA and SEC rules Advertising review experience a plus Ability to multi-task, problem-solve and think critically At BNY, our culture speaks for itself. Here’s a few of our awards: America’s Most Innovative Companies, Fortune, 2024 World’s Most Admired Companies, Fortune 2024 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, Top performing company for Sustainability, 2024 Bloomberg’s Gender Equality Index (GEI), 2023 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.

Keywords: , Town-n-Country , Vice President, Broker-Dealer Compliance, Accounting, Auditing , Lake Mary, Florida