Senior Client Processing & Compliance Specialist

BNY Mellon; Florida; On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

Generous paid leave

Paid volunteer time

Health and financial goals support

Job summary

BNY Mellon is hiring a Senior Specialist in Client Processing for their Lake Mary location. The role involves ensuring service level agreements are met and reviewing account requests for compliance. The ideal candidate will have a Bachelor’s degree, 5-7 years of experience, and regulatory licenses such as Series 9/10 or Series 24.

BNY offers competitive compensation and benefits focused on health and financial wellbeing, alongside a commitment to diversity and inclusion.

Qualifications

• Bachelor's degree or equivalent combination of education and experience is required.
• 5-7 years of total work experience is preferred.
• Experience in brokerage processing is preferred.

Responsibilities

• Ensure all service level agreements are met on a daily basis for each assigned task.
• Review account opening and update requests to ensure AML requirements are met.
• Communicate with RIA Service Teams to resolve issues promptly.

Skills

Brokerage processing

Analytical skills

Problem-solving

KYC compliance

Education

Bachelor's degree

Job description

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 and champions, 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 Senior Specialist, Client Processing to join our team. This role is located in Lake Mary, FL.

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

• Ensure all service level agreements are met on a daily basis for each assigned task within Pershing EOP.
• Review account opening requests and account update requests via NetX to ensure all AML requirements are met per the Global Standards policy.
• Verify End-Client KYC profiles via Equifax and Lexis Nexis database.
• Complete all RIA requests submitted via NetX and ECRM for both PAS and BCS.
• Collaborate with organizational units/teams to ensure technology enhancements to the workflow or new regulatory requirements are successfully implemented.
• Communicate with RIA Service Teams to ensure issues are resolved in a timely manner.
• Solves complex problems based on an understanding and knowledge of the intricacies of the system.
• Integrates in-depth area knowledge with a solid understanding of industry standards and practices to provide solutions to internal and external clients.
• Assist Legal and Compliance on various audit requests to provide supporting documentation as requested.
• May be responsible for allocating and checking work of other team members.
• May be responsible for specific supervisory review, training, and approval actions.
• Contributes to the achievement of related team's objectives.

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

• Bachelor's degree or the equivalent combination of education and experience is required
• 5-7 years of total work experience is preferred.
• Experience in brokerage processing is preferred.
• FINRA licenses, Series 9/10 or Series 24 preferred.
• Applicable local/regional licenses or certifications as required by the business.

At BNY, our culture speaks for itself, check out the latest BNY news at:

BNY Newsroom

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Here's a few of our recent awards:

• America's Most Innovative Companies, Fortune, 2025
• World's Most Admired Companies, Fortune 2025
• "Most Just Companies", Just Capital and CNBC, 2025

Our 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.

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