Asset Management

Posted 13 days ago

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**Senior Vice President, Compliance & Control (Investments Compliance) – Boston, MA** cxSensify compliance needs a seasoned leader for the Senior Vice President role, driving investment adviser compliance across multiple affiliated SEC RIAs. Key responsibilities include developing robust, regulatory-aligned compliance programs, enhancing policies, managing filings, risk assessments, and regulatory interactions. The ideal candidate holds a bachelor's degree (MBA preferred), brings at least 10-12 years of industry-specific compliance experience, and excels in communication, analysis, project management, and stakeholder collaboration.

Compensation: Not specified
City: Boston
Country: United States

Full Job Description

Were seeking a future team member for the role of Senior Vice President, Compliance and Control to join our BNY Investments team. This role is located in Boston

This role will support multiple affiliated SEC Registered Investment Advisers (RIAs). You will support robust compliance program within BNY Investments. Youll partner closely with business leaders and senior management to ensure policies, controls, and monitoring processes meet all regulatory requirements.

In this role, youll make an impact in the following ways:

Assist the Chief Compliance Officer in developing investment adviser compliance programs and ensuring compliance with all applicable laws, regulations and industry best practices.
Develop, review, and enhance policies in accordance with the Investment Advisers Act and other applicable regulations, ensuring alignment with regulatory requirements and industry best practices
Prepare key regulatory filings
Prepare compliance risk assessments
Assist with regulatory examinations and inquiries

To be successful in this role, were seeking the following:

Bachelors degree; MBA preferred
Minimum of 10-12 years of experience in a compliance role in the asset management industry, with a focus on the Investment Advisers Act. Alternatives experience a plus.
Excellent oral and written communication
Ability to independently analyze complex regulatory and business issues, propose pragmatic solutions, and drive timely execution
Strong project-management skills and ability to juggle priorities across multiple affiliated lines of business

Full Job Description

Were seeking a future team member for the role of Senior Vice President, Compliance and Control to join our BNY Investments team. This role is located in Boston

In this role, youll make an impact in the following ways:

Assist the Chief Compliance Officer in developing investment adviser compliance programs and ensuring compliance with all applicable laws, regulations and industry best practices.
Develop, review, and enhance policies in accordance with the Investment Advisers Act and other applicable regulations, ensuring alignment with regulatory requirements and industry best practices
Prepare key regulatory filings
Prepare compliance risk assessments
Assist with regulatory examinations and inquiries

To be successful in this role, were seeking the following:

Bachelors degree; MBA preferred
Minimum of 10-12 years of experience in a compliance role in the asset management industry, with a focus on the Investment Advisers Act. Alternatives experience a plus.
Excellent oral and written communication
Ability to independently analyze complex regulatory and business issues, propose pragmatic solutions, and drive timely execution
Strong project-management skills and ability to juggle priorities across multiple affiliated lines of business

Senior Vice President, Compliance & Control (Investments Compliance)

Full Job Description

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