Senior Vice President, Markets Compliance Greater Orlando, FL Area

The Company is seeking a Senior Vice President to support its U.S. broker-dealer business as a strategic compliance partner. Responsibilities include advising business and platform leaders on applicable laws and regulations, collaborating across functions to design and maintain compliance programs, and conducting risk assessments and monitoring reviews to identify vulnerabilities and establish controls. The role also involves analyzing regulatory developments and industry practices, supporting the Chief Compliance Officer with program management and reporting, and contributing to remediation and process improvements. Candidates should have a bachelor’s degree or professional certification, with 10 or more years of relevant compliance or financial services experience preferred. They should bring thorough knowledge of applicable securities regulations and a strong understanding of compliance and risk management practices. The position requires the ability to influence stakeholders at all levels and advance initiatives in a collaborative, matrixed environment. Experience reviewing investment adviser and broker-dealer advertising or marketing materials is an advantage.

Hiring Company

BNY