Director, Compliance & Control

We’re seeking a future team member for the role of Director to join our Markets Compliance team, covering Fixed Income and Buy-side Trading Solutions. This role is located in New York City.

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

• Provide real-time advisory compliance support to lines of business and support staff so they may conduct their business in accordance with FINRA Broker-Dealer, NFA Introducing Broker, and Bank regulations. 

• Advise and provides guidance for establishing a reasonably designed supervisory framework

• Prepare and update Compliance policies, and guidance for business owned documentation, including written supervisory procedures. 

• Proactively engages with Compliance, Legal, and business colleagues to enhance the overall Compliance framework. 

• Provide guidance on and remain up to date on regulatory developments and industry best practices.

• Interface with regulators, internal audit, and compliance testing teams during related examinations and/or audits for coverage areas.   
   

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

• Bachelor’s degree

• At least 10 years of regulatory compliance experience and current knowledge with focus on capital markets, including fixed income securities. 

• Strong organizational and communications kills and attention to detail.

• Maintains a strong work ethic, is pro-active with ability to work independently and manage ad-hoc projects to conclusion.

• Ability to manage relationships with Business COO, and Controls to foster business change aligned with regulatory expectations

At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.

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.