Sr. Vice President, Compliance & Financial Crimes Audit

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 SVP, Senior Compliance Project Leader to join our Global Financial Crimes and Compliance (GFC&C) team in Audit. This role is located in NYC.

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

• Lead global Surveillance Program initiatives covering Market Abuse/Trade Surveillance (e.g., insider dealing, market manipulation), E-Communication surveillance (email, chat/collaboration platforms), and Voice surveillance (recorded lines/telephony), including policy, standards, control design, and operating effectiveness.
• Drive end-to-end program leadership for surveillance enhancements: coverage and risk assessments, scenario design and tuning, lexicon/model calibration, threshold governance, QA frameworks, metric/KRI design, alert quality improvements, and sustainable remediation.
• Oversee second line testing, continuous monitoring, and issue validation for surveillance controls; identify meaningful issues impacting business processes and challenge remediation plans to verify closure.
• Partner with technology and model owners on surveillance platform governance (use-cases, data lineage/quality, thresholds, model risk considerations, periodic calibration, back-testing, and documentation).
• Strengthen conduct risk controls and market integrity by aligning surveillance programs to regulatory expectations (e.g., MAR/MAD II, MiFID II conduct and recordkeeping, SEC/FINRA rules, broker-dealer and swap dealer obligations).
• Lead stakeholder engagement with senior business leaders, operations, technology, and risk; partner closely with regulatory exam management for supervisory interactions and preparedness (playbooks, artifacts, metrics).
• Build and manage a high-performing team of GFC&C and Surveillance SMEs; provide coaching, elevate consistency/quality, and foster cross-border knowledge transfer.
• Enhance reporting to compliance leadership and governance committees: KRIs/KCIs, thematic insights, root-cause analysis, and trend reporting for surveillance and GFC&C programs.
• Contribute to the annual compliance plan, resource prioritization, and transformation roadmap across AML, Sanctions, Fraud, Anti-Bribery, and Surveillance.
• Maintain up-to-date knowledge of industry best practices and evolving supervisory expectations, cascade training and guidance across regions and teams.
• Carry out other ad hoc tasks and projects as directed by compliance senior management.

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

• 12 years in banking/financial services (10 years in Internal Audit and U.S. self-regulatory environments), with a proven record leading global remediation programs and risk-based audits across the U.S. and Europe.
• Deep experience in Corporate Compliance, Conduct & Fiduciary Risk, Financial Crime (AML, Fraud), and Surveillance Programs (Market Abuse/Trade, E-Comm, Voice); recognized for partnering with regulators and senior management to close high-profile issues.
• Strong cross-border execution in EMEA and U.S is highly valuable.
• Regulatory knowledge: U.S. frameworks (BSA, USA PATRIOT Act, FCA, OFAC, SEC/FINRA rules, FRB, OCC/CFPB, NFA/CFTC) and European frameworks (MAR/MAD II, MiFID II, GDPR, market conduct expectations).
• Practical expertise in surveillance methodologies: scenario development, lexicon design/tuning, model calibration and threshold governance, alert QA, false positive reduction, coverage mapping, data quality controls, audit-readiness documentation, and runbook management.
• Strong communication and influencing skills; confident engaging senior stakeholders and supervisors; excellent written and verbal skills for issues management, reporting, and regulatory interactions.
• Deep understanding of governance, risk, and control frameworks across the three lines of defense; hands-on experience with testing, monitoring, and issue validation methodologies.
• Self-starter with a high degree of ownership; thrives in fast-paced environments and adapts quickly to change.
• Excellent planning, coordination, organization, and presentation skills.
• Tools and skills