Senior Associate, Regulatory Oversight Management
Listed on 2026-02-01
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Finance & Banking
Risk Manager/Analyst, Corporate Finance
Overview
Senior Associate, Regulatory Oversight Management
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.
About BNY Investments
BNY Investments is a division of BNY, one of the world’s largest and most-trusted financial services groups. BNY Investments is a leading investment manager, with $2.1 trillion
* in assets under management as of June 30, 2024. Through an investor-first approach, the firm brings to clients the best of both worlds: specialist expertise from seven specialist investment managers offering solutions across every major asset class, backed by the strength, stability, and global presence of BNY.
We’re seeking a future team member for the role of Senior Associate, Regulatory Oversight Management to join our Global Holdings Reporting team. This role is located in New York, NY.
BNY’s Global Holdings Reporting (GHR) team centrally manages and executes mandatory securities holdings disclosures to regulators and exchanges worldwide. We’re a close-knit, global group known for collaboration, market expertise, and a strong risk- and control mindset. Partnering across Compliance, Legal, Operations, and Technology, we deliver accurate, on-time filings and continuous process improvements. If you’re growth-minded and energized by high-stakes operational excellence, you’ll thrive with us.
The successful candidate will bring financial services experience with operational and technical exposure, and possess working knowledge of securities products—including equities, fixed income, mutual funds, and ETFs.
In this role, you’ll make an impact in the following ways:
Responsibilities- Responsible for supporting the monitoring, identification and preparation of Substantial Shareholder disclosures and corresponding regulatory reports on a global basis; including Takeover Panel, Short Position and Sensitive Industry reporting.
- Perform requisite data analysis, aggregation and quality control.
- Prepares various monthly reports for internal businesses and groups within the firm.
- Prepares/Reviews a variety of securities-related risk management reports.
- Performs data management, quality control and investigative research in support of regulatory reporting.
- Collaborates with internal businesses, domestically and internationally, on data enhancement and reconciliation.
- Participates in projects / process enhancements from end to end.
- Ability to leverage AI to streamline and modernize workflows.
- Reviews and makes recommendations on necessary procedural/control changes and contributes to the achievement of team objectives.
- Bachelors degree or the equivalent combination of education and experience is required.
- 3-6 years of total work experience preferred.
- Proficient with MS Excel required and technical experience a plus.
- Knowledge of the Financial Services Industry required.
- Strong collaborative skills are preferred to work in this collegial team environment.
- Strong communication skills, problem-solving abilities preferred.
At BNY, our culture speaks for itself, check out the latest BNY news at:
BNY Newsroom
BNY Linked In
Awards- America’s Most Innovative Companies, Fortune, 2025
- World’s Most Admired Companies, Fortune 2025
- “Most Just Companies”, Just Capital and CNBC, 2025
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…
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