Director, Business Compliance Officer – Consumer Compliance

At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.

Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.

We’re seeking a future team member for the role of Director, Business Compliance Officer – Consumer Compliance to join our Risk & Compliance team. This role is located in New York City. 

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

• Oversee the Consumer Compliance program for Wealth Management, ensuring alignment with applicable OCC, SEC, and FINRA regulations, as well as internal risk management and governance frameworks.
• Lead the Consumer Compliance Committee and serve as the subject matter expert on consumer compliance matters across Wealth Management.
• Strong partnership capabilities with business and functional leaders to address regulatory, audit, and examination findings, including comfort presenting to and engaging with executive audiences.
• Partner with business leaders to assess consumer compliance implications of new products, activities and services, including advising on the development of relevant controls and ongoing monitoring frameworks. 
• Provide oversight of the Consumer Compliance framework, including policies, procedures, monitoring, testing, issue management, and reporting.
• Collaborate with technology, product, and operations teams to embed compliance-by-design principles across the full lifecycle of consumer-facing products and services.
• Lead regulatory engagement related to consumer compliance for Wealth Management, including interactions with regulators and responses to examinations and inquiries.
• Prepare and deliver management reporting, dashboards, and risk assessments for executive leadership and the Board related to consumer compliance matters.

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

Minimum of 10 years of experience in advisory compliance, legal, or regulatory roles with a focus on Consumer Compliance.

• Strong knowledge of U.S. consumer compliance regulatory frameworks, including OCC, SEC, and related supervisory expectations. This includes expertise in consumer banking and payments regulations, including but not limited to: Truth in Lending Act, Equal Credit Opportunity Act, UDAAP, Regulations E, CC, DD, and Z, CFPB Prepaid Rule, Electronic Fund Transfer Act, Gramm-Leach-Bliley Act and consumer privacy requirements, Remittance Transfer Rule, Federal Payments Rule, federal garnishment rules, Regulation II, and applicable card network and payment network rules.
• Direct experience supporting or managing compliance programs for SEC- and/or OCC-regulated entities.
• Demonstrated ability to design and implement monitoring, testing, and risk assessment programs across complex and evolving business models.
• Proven leadership and influencing skills, with the ability to engage effectively with senior executives, regulators, and cross-functional stakeholders.
• Excellent written and verbal communication skills, strong analytical capabilities, and a solution-oriented mindset.

Bachelor’s degree required; advanced degree (JD, MBA) and/or relevant certifications preferred.

At BNY, our culture speaks for itself, check out the latest BNY news at:

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• America’s Most Innovative Companies, Fortune, 2025
• World’s Most Admired Companies, Fortune 2025
• “Most Just Companies”, Just Capital and CNBC, 2025

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.

BNY assesses market data to ensure a competitive compensation package for our employees. The base salary for this position is expected to be between $127,000 and $211,500 per year at the commencement of employment. However, base salary if hired will be determined on an individualized basis, including as to experience and market location, and is only part of the BNY total compensation package, which, depending on the position, may also include commission earnings, discretionary bonuses, short and long-term incentive packages, and Company-sponsored benefit programs. 
This position is at-will and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation) at any time, including for reasons related to individual performance, change in geographic location, Company or individual department/team performance, and market factors.