Vice President, Markets Compliance

The Bank of New York MellonLake Mary, FL

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Overview

Schedule

Full-time

Career level

Executive

Remote

On-site

Benefits

Career Development

Job Description

JobID: 79965

Category: Compliance & Control

JobSchedule: Full time

Posted Date: 2026-09-17T16:42:32+00:00

JobShift: Day

Base Salary Min: 69000

We're seeking a future team member for the role of Vice President to join our Markets Compliance team, focused on supporting the US Broker Dealer. This role can be based in New York City, Pittsburgh, or Lake Mary, FL.

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

Strategic partner to business and platform leads, Compliance, Finance and Operations, responsible for advising various businesses and platforms regarding US broker dealer laws, rules and regulations.
Work cross-functionally with other businesses and platform Compliance coverage on the design, implementation, and maintain a robust compliance program for new and existing business offerings.
Conduct risk assessments and collaborate on internal monitoring reviews to identify potential compliance vulnerabilities and implement mitigating controls.
Analyze existing and proposed legislation, regulatory announcements, and industry practices, and support the business units to develop and implement procedures and/or controls to meet these requirements.
Support the Chief Compliance Officer in managing the compliance programs for a FINRA broker dealer, including board reporting, management reporting, as well as supporting remediation and process enhancements.

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

Bachelor's degree or professional certification preferred. 5+ years relevant compliance and/or financial services experience preferred.
Thorough knowledge of relevant financial industry rules and regulations (SEC & FINRA). Solid understanding of compliance and risk management best practices.
This is a high-visibility role for a candidate who is eager to proactively manage risk and influence positive business outcomes in a fast-paced, innovative environment.
Proven ability to influence stakeholders at all levels of the organization and drive compliance initiatives in a collaborative, matrixed environment.
Experience in the review of investment adviser and broker-dealer advertising and marketing materials a plus.

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FAQs About Vice President, Markets Compliance Jobs at The Bank of New York Mellon

What is the work location for this position at The Bank of New York Mellon?

This job at The Bank of New York Mellon is located in Lake Mary, FL, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.

What pay range can candidates expect for this role at The Bank of New York Mellon?

Employer has not shared pay details for this role.

What employment applies to this position at The Bank of New York Mellon?

The Bank of New York Mellon lists this role as a Full-time position.

What experience level is required for this role at The Bank of New York Mellon?

The Bank of New York Mellon is looking for a candidate with "Executive" experience level.

What benefits are offered by The Bank of New York Mellon for this role?

The Bank of New York Mellon offers Career Development for this position. Actual benefits may vary depending on the employer's policies and employment terms.

What is the process to apply for this position at The Bank of New York Mellon?

You can apply for this role at The Bank of New York Mellon either through Sonara's automated application system, which helps you submit applications 10X faster with minimal effort, or by applying manually using the direct link on the job page.