Vice President, Markets Compliance Manager - Financial Services
american statistical association asaLake Mary, FL
Vice President, Markets Compliance Manager - Financial Services
american statistical association asaLake Mary, FLManager L7
Investment Banking and Securities IntermediationSecurities and Commodity ExchangesMiscellaneous Intermediation
APPLY NOW (opens in a new tab)Senior Vice President, Markets ComplianceBNY Mellon seeks a Senior Vice President, Markets Compliance to lead compliance oversight for its global markets businesses. This role designs and enhances compliance frameworks, policies, and surveillance to meet complex regulatory requirements across trading, markets, and digital solutions. You will advise executives on regulatory change, manage regulatory exams, and partner with business, Legal, Risk, and Technology to embed robust controls. Lead, develop, and mentor a high-performing compliance team while fostering a culture of integrity, conduct risk awareness, and client-focused risk management.
Responsibilities:
- Lead the Markets Compliance function, ensuring adherence to global regulatory requirements across trading and markets businesses
- Design, implement, and enhance compliance frameworks, policies, and surveillance for market activities
- Advise senior leadership on regulatory developments, compliance risk, and control enhancements
- Oversee compliance monitoring, testing, and reporting, escalating issues and remediation plans as needed
- Partner with business, Legal, Risk, and Technology to embed compliance in products, platforms, and processes
- Lead regulatory examinations, inquiries, and audits, ensuring timely, transparent responses
- Drive a culture of integrity, conduct risk awareness, and strong control discipline across global teams
- Manage, mentor, and develop a high-performing compliance team with clear objectives and metrics
Required Skills:
- Securities and derivatives regulation (SEC, CFTC, FINRA, ESMA)
- Markets compliance program design
- Trade and communications surveillance systems
- Regulatory risk assessment and controls
- Regulatory exams and inquiries management
- Policy development and implementation
- Capital markets products knowledge (equities, fixed income, FX, derivatives)
- Compliance data analytics and reporting
- Stakeholder management and executive advising
- Team leadership and people management
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Level
Manager L7
Location
Lake Mary, FL
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
yesterday