Senior Specialist, Client Processing

BNY Mellon; Town of Florida (NY); 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

Senior Specialist, Client Processing

Location: Lake Mary, FL

Responsibilities

• 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.
• Solve complex problems based on an understanding and knowledge of the intricacies of the system.
• Integrate 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.
• Contribute to the achievement of related team's objectives.

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.
• FINRA licenses, Series 9/10 or Series 24 preferred.
• Applicable local/regional licenses or certifications as required by the business.

Benefits

BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and a pay-for-performance philosophy. Benefits include generous paid leave, paid volunteer time, and support for health and financial goals.

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