Vice President, Regulatory & Technical Support
Responsibilities
- Review of, and provision of guidance on, all applicable scheme documentation (including prospectuses; instruments of incorporation; trust deeds; FCA applications; schemes of arrangement; investor circulars; and risk management policies), in each case from a depositary and fiduciary perspective, with a view to ensuring compliance with all applicable regulations; protection of investor interests; and adherence to evolving regulator expectations;
- Providing high quality interpretation to fund manager clients, the depositary business, and the wider organisation in respect of regulatory and compliance matters relating to the interpretation of relevant regulations; and their application to technical aspects of collective investment fund operations
- Collation and submission of regular regulatory reporting
- Lead the analysis of regulatory change
- Represent the regulatory team in governance forums
- Represent BNY in industry forums
- Perform Issues/Embeddedness Testing reviews; assess remediation control design and operating effectiveness, document results, and drive follow‑up actions to closure.
- Lead the review of trend analysis on issues, developing additional action plans as necessary
Qualifications
- In‑depth knowledge of the collective investment funds industry and the rules and regulations pertaining thereto (particularly as they relate to open‑ended investment companies (OEICs); authorised unit trusts (AUTs); and authorised contractual schemes (ACS), in each case structured as UCITS; non‑UCITS retail schemes (NURS); qualified investor schemes (QIS) and Long‑Term Asset Funds (LTAF))
- In‑depth familiarity with authorised fund scheme documentation and the FCA authorisations process;
- Strong risk awareness with a deep understanding of control frameworks, testing methodologies, and remediation life cycles
- Strong communication and collaboration skills, with the ability to work effectively with stakeholders at all levels of the organisation.
- Strong analytical skills and high attention to detail.
- Strong sense of ownership, accountability, and risk awareness.
- Ability to prioritise across multiple deadlines and manage a varied workload.
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.
- America’s Most Innovative Companies, Fortune 2025
- World’s Most Admired Companies, Fortune 2025
- Most Just Companies, Just Capital and CNBC 2025
BNY is an Equal Employment Opportunity/Affirmative Action Employer – Under‑represented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
