Free Vice President, ETF Advisor Compliance

Published date: May 20, 2024
  • Location: New York, United States

Bring your ideas. Make history.


BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the “bank of banks” - 97% of the world’s top banks work with us as we lead and serve our customers into the new era of digital.


With 240 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we’re approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.


We’re seeking a future team member for the role of VP, ETF ADVISOR COMPLIANCE to join our Investment Management Compliance team. This role is located in New York City, NY - HYBRID.

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

Independently contributes to the compliance efforts of multiple assigned business units.
Analyzes existing and proposed legislation, regulatory announcements and industry practices to help the assigned businesses develop and implement procedures to meet existing and upcoming requirements.
Maintains strong working relationships with peer compliance teams, senior management, Legal and Risk
Conducts fund and adviser-related compliance program testing and monitoring; assists with preparation of compliance-related board and business line reporting,
Assists with preparation of regulatory reporting (Form ADV; Form PF; etc.), compliance manual maintenance and marketing material review.
Contributes to the development of projects and programs to improve compliance and enhance the control environment.
To be successful in this role, we’re seeking the following:

Bachelor‘s degree or the equivalent combination of education and experience is required.
Business or Finance degree preferred.
7-10 years of total work experience preferred.
Mutual Fund / ETF Compliance and/or Investment Adviser Compliance experience highly preferred.
At BNY Mellon, our inclusive culture speaks for itself. Here’s a few of our awards:

Fortune World’s Most Admired Companies & Top 20 for Diversity and Inclusion, 2023
Bloomberg’s Gender Equality Index (GEI), 2023
Human Rights Campaign Foundation, Corporate Equality Index, 2023
Best Places to Work for Disability Inclusion, Disability: IN – 100% score, 2023
Dow Jones Sustainability Indices, Top performing company for Sustainability, 2023
Forbes Blockchain 50, 2023
Our Benefits:

BNY Mellon 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 that can support you and your family through moments that matter.

BNY Mellon assesses market data to ensure a competitive compensation package for our employees. The base salary for this position is expected to be between $90,500 and $161,250 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 BNYM 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.

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.



Reference : Vice President, ETF Advisor Compliance jobs

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