BNY Mellon Careers

Compliance Officer III

Lake Mary, Florida

Job Description

  • Manages compliance efforts for the Company as they relate to complex regulatory and policy requirements, program and project development.
  • Analyzes existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedures to meet these requirements.
  • Primarily responsible for ensuring the overall integrity of Large Option Position Reporting submitted to regulators.
  • Validates control processes for various regulatory reporting functions to ensure compliance with laws, rules and regulations.
  • Partners with business unit managers to respond to reports issued by regulatory agencies or audit.
  • May have contact with outside regulators, government officials, and senior Business Unit managers.  


  • BA/BS, MBA or professional certification preferred. 
  • 7-10+ years relevant product/financial services and/or auditing or compliance experience preferred.
  • Thorough knowledge of Financial Services rules and regulations.
  • Excellent problem solving, analytical ability, oral and written communication skills.
  • The ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving.
  • Ability to effectively deal with senior management as well as, Federal/State and other Regulators Strong interpersonal skills to influence and impact business decisions over which the incumbent has no direct authority.
  • Preferred Skills – Ability to work independently and in a team environment.
  • Preferred Skills –  Knowledge and understanding of Options positions including trade processing.
  • Preferred Skills – Experience with regulatory reporting requirements of a broker-dealer.

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark:

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.

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Primary Location: United States-Florida-Lake Mary
Internal Jobcode: 23620
Job: Compliance
Organization: Pershing-HR06431
Requisition Number: 1711473