Compliance Officer II Job

BNY Mellon
(View company profile)
Lake Mary, FL
Job Type:
Full Time
Yrs of Exp:
2+ to 5 years

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Job Description

Compliance Officer II (Job Number: 1306626)

BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 36 countries and more than 100 markets. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. Additional information is available at

Pershing provides critical business process, financial and technology solutions for financial organizations around the globe.

We operate behind the scenes to power transformational change for broker-dealers, registered investment advisors, independent financial advisers, hedge fund and '40 Act fund managers and individual investors.

We strive to be innovators, developing open architecture technology and financial solutions to support our customers' growth. We advocate on behalf of our customers and help them respond to regulatory reform and drive positive outcomes for our industry and investors.

From our core business as an industry-leading trade execution, clearing and custody provider, we have evolved into a global multifaceted firm that provides investment solutions, forward-thinking technology-driven efficiencies, practice management and service excellence.


This position will be responsible for reviewing, resolving and documenting alerts generated from one or more of Pershing's exception reporting systems, including Actimize. The position will also be responsible for leading AML investigations and drafting Suspicious Activity Reports. The Ideal candidate should have a general understanding of U.S. AML and OFAC regulations. Basic understanding of brokerage products and services is required.


BA/BS required. 2-3 years relevant product/financial services and/or auditing or compliance experience. Excellent problem solving, analytical ability, oral and written communication skills. Fluency in Spanish is a plus. Previous AML/Look-back project experience is a plus. Computer proficiency and knowledge of LexisNexis and World Check (or similar) required. Experience with Actimize, Mantas, SearchSpace, Fortent or similar surveillance system preferred.

Primary Location: United States-USA-Florida-Lake Mary
Internal Jobcode: 23640
Job: Audit/Compliance/Risk
Organization: Pershing-HR06431

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