Convergex
Vice President, Compliance & Control - Pershing
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Vice President, Compliance Officer
We’re seeking a future team member for the role of Vice President, Compliance Officer to join the Pershing EMEA Compliance team. This role is located in Manchester, UK.
Role Overview
In this role, you’ll make an impact in the following ways:
- Lead regulatory change oversight across Pershing EMEA, monitoring new UK, EU, Irish and Jersey regulatory developments and assessing their impact on the business.
- Maintain regulatory publications logs, regulatory change controls and governance documentation, ensuring regulatory assessments and actions are tracked and accessible.
- Partner with the EMEA Regulatory Change team, Project Management Office and business stakeholders to coordinate regulatory change implementation and delivery.
- Oversee the horizon scanning framework, providing traceability of regulatory developments from identification through implementation.
- Prepare and maintain management information to support compliance risk monitoring, regulatory reporting and senior governance oversight.
- Provide compliance advisory support across Pershing and BNY stakeholders, contributing to projects, working groups and regulatory change initiatives.
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Requirements
To be successful in this role, we’re seeking the following:
- Compliance experience within financial services, with strong knowledge of FCA requirements relating to custody, client assets, clearing and settlement activities.
- Strong understanding of UK and European regulatory developments and their impact on capital markets, wealth management and advisory businesses.
- Detailed knowledge of key FCA regulatory frameworks, including PRIN, SYSC, COBS, MAR, CASS, SUP, MiFID, SMCR and DISP.
- Experience working within a global organisation across multiple jurisdictions and engaging with stakeholders at all levels.
- Strong communication, presentation and stakeholder management skills, with the ability to provide practical compliance guidance and challenge.
- Familiarity with compliance risk management frameworks, regulatory change programmes, compliance projects and emerging technologies, including AI.
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About BNY
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 is all about. Join us and be part of something extraordinary.
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