Vice President, Regulatory Oversight Management II

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.

Before applying for this role, please read the following information about this opportunity found below.

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, Regulatory Oversight Management to join our Asset Servicing team.

This role is located in Lake Mary, FL Hybrid work schedule.

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

• Analyze existing legislation, regulatory announcements, and industry practices for first line of defense compliance requirements.
• Support the business to develop adequate processes to meet compliance requirements. Implement plans to ensure compliance with laws, rules and regulations and manage risk.
• Review the articulation of controls and how they mitigate regulatory risks and contribute to the development of actions plans to address control weakness / enhancements.
• Support complex change projects and provide insight on implementation of regulation and process improvements.
• Manage the Senior Management Regime framework (SMR) for UK Asset Servicing and drive the agenda / collate material for the associated governance meetings.
• Own the framework for regulatory control including evidencing compliance, supporting the senior manager and certified staff in meeting their obligations and working to continuously enhance the control environment.
• Represent the business in legal entity control forums.
• Assist business unit managers in response to reports issued by regulatory agencies or audit.
• Partner and influence senior management, both within ASD and other LOBs to ensure ongoing compliance, as well as legal, risk and compliance at all levels on any regulatory matter with presence and credibility.
• Investigate breaches to identify root cause and actions needed to reduce the risk of recurrence.
• No direct reports : provides technical advice / guidance to less experienced team members. Contributes to the achievement of team objectives.

Provide guidance and training to entry-level employees.

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

• Bachelor’s degree or the equivalent combination of education and experience is required. Advanced / graduate degree preferred.
• 7-10 years of relevant industry experience.
• Experience handling / managing complex documentation and business workflow.
• Process oriented change agent mindset.
• Ability to review, challenge and improve control processes, identifying data driven solution and opportunities for automation.
• Ability to think and execute quickly in a fast-moving environment with proper risk lens and balance.
• Ability to lead, work with and influence across the organization including senior management.
• Ability to work under time constraints.
• Excellent communication skills both written and oral.
• Demonstrated problem solving and analytical ability applied to regulatory matters.
• Experience of either regulatory analysis or legal analysis in the financial services space would be considered a plus.
• Strong interpersonal skills, influencing skills, control focus.
• Must have ability to deal effectively with senior managers.

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.

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