Bethany Taylor
Financial Professional, MBA
Angier,NC
Summary
Financial Operations Vice President specializing in risk management and compliance, with a proven track record in high-volume financial crime environments.
Overview
12
12
years of professional experience
Work History
Vice President, Client Processing
BNY Mellon
04.2023 - Current
- Achieved the highly challenging FINRA Series 4 (Options Principal) license, one of only two U.S. employees at BNY Mellon to hold this distinction, demonstrating advanced expertise in options principal activities and complex regulatory frameworks.
- Managed the Option Approval Team, overseeing the rigorous approval process review to ensure strict adherence to FINRA and internal risk parameters, thereby mitigating firm exposure to suitability and compliance risks.
- Provided advanced subject matter expertise and strategic oversight across all core client processing and new account review functions, ensuring the highest standards of compliance and operational efficiency.
Lead Client Processing Analyst
BNY Mellon
01.2021 - 03.2023
- Approved an average of 35 new institutional accounts daily, conducting Enhanced Due Diligence (EDD) reviews for high-risk clients and complex corporate structures to ensure strict adherence to AML regulations, the Patriot Act, and internal financial crime policies.
- Ensured strict adherence to Know Your Customer (KYC) guidelines and regulatory mandates throughout the new account onboarding process, leading to a strengthened compliance posture and reduced exposure to financial crime risks.
- Processed complex client maintenance requests, including significant account updates and changes, performing necessary due diligence to ensure ongoing compliance with AML/KYC regulations.
Client Processing Analyst
BNY Mellon
07.2019 - 12.2020
- Processed user IDs and access entitlements for approximately 400 financial services client and advisor requests daily, guaranteeing rapid and secure platform access.
- Authored and refined comprehensive Standard Operating Guides for client processing workflows, improving operational consistency and reducing new hire training time.
- Refined returned mail processing workflows through targeted projects, proactively mitigating the risk of client assets becoming escheated and enhancing accurate record-keeping critical for regulatory compliance.
- Identified and escalated potential anomalies in client account access or entitlement request that could indicate suspicious activity, reinforcing the bank’s security protocols.
Accounts Payable Specialist
BNY Mellon
04.2013 - 04.2019
- Collaborated cross-functionally for five years to resolve vendor discrepancies and optimize payment processes, maintaining strong vendor relationships and contributing to accurate financial close procedures.
- Maintained meticulous financial records for five years, ensuring proper coding and accuracy across all accounts payable transactions, which directly contributed to detailed reporting and seamless audit processes.
Education
Master of Business Administration (MBA) -
Salem International University
Bachelor of Science (BS) - Finance
University of Northern Colorado
Associate of Arts (AA) - English
Northeaster Junior College
Skills
Financial Crime Risk Management
Sanctions & Regulatory Adherence
Mentorship, Training, & Leadership
Decision Making & Problem Solving
Confidentiality & Integrity
Risk Mitigation
Data Analysis
(AML) (KYC) (CDD) (EDD)
NetX360, Dynamics365
Certifications & Licenses
- FINRA CRD # 7163621 SIE, Series 99, Series 7, Series 24, Series 4, Series 63
- Certified Know Your Customer Associate (CKYCA) - Actively Pursuing
- Certified Anti-Money Laundering Specialist (CAMS) - Seeking Employer Sponsorship
Timeline
Vice President, Client Processing
BNY Mellon
04.2023 - Current
Lead Client Processing Analyst
BNY Mellon
01.2021 - 03.2023
Client Processing Analyst
BNY Mellon
07.2019 - 12.2020
Accounts Payable Specialist
BNY Mellon
04.2013 - 04.2019
Associate of Arts (AA) - English
Northeaster Junior College
Master of Business Administration (MBA) -
Salem International University
Bachelor of Science (BS) - Finance
University of Northern Colorado
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