Senior Associate, Compliance

1 week ago

Pune, Maharashtra, India BNY Mellon Full time

Bring your ideas. Make history.
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the "bank of banks" - 97% of the world's top banks work with us as we lead and serve our customers into the new era of digital.

With over 238 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we're approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.

We're seeking a future team member for the role of Senior Associate, Compliance & Control to join our Compliance Surveillance team. This role is located in Pune or Chennai, India (Hybrid) .

The Compliance Surveillance is a multifaceted team which is responsible for-

  • To provide independent quality check and challenge over the E-communications, Voice, and Trade surveillance programs.
  • Undertaking L1 review of surveillance alerts generated in E-comms, Trade and Voice programs to detect potential instances of Market Abuse & Breaches of information boundaries or internal policies. The surveillance program is based on a partnership with the line of business, however is also independent to ensure that the company and individuals within the company comply with all applicable laws, regulations, market standards, and ethical norms.

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

  • Review of Electronic communication alerts, conduct initial analysis and identifying any irregularities or discrepancies as part of the review process and investigating and escalating activity as appropriate.
  • Support the day-to-day efforts related to assessing whether employees globally are in compliance with relevant laws, rules, regulations based on review of alerts closed by 1LoD.
  • Ensuring the meet of all the key Performance Indicators as agreed in the PLA's. (Quality and TAT)
  • Liaising and collaborating with IT Support, L2 Compliance, Business Partners to handle raised cases and potential changes regarding surveillance software and systems.
  • Bringing in additional controls, if required, to improve the quality of deliverables.
  • Identification of risk and communicating the same with internal management and business partners.
  • Maintaining and updating process related documents on regular basis.
  • Ensuring the completion of Mandatory training modules as per the agreed timelines.
  • Challenge 1LoD, whenever evidence or rationale of closed alerts is insufficient.
  • Escalate issues to appropriate stakeholders and track through closure.
  • Document the reviews and outcomes to ensure complete and accurate audit trail.

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

  • At least 3 years surveillance (trade/e-comms), operations, middle office or trading experience in fixed income and currency products preferred.
  • Preference to experience with Anti-Tax Evasion, Anti-Bribery, and/or Financial Crimes
  • Senior Associate role must display exemplary leadership and model behavior
  • Strong oral and written communication skills and the ability to implement compliance policies and procedures.
  • Verify practices against straightforward policies, with moderate supervision.
  • The ideal candidate must possess knowledge of and rationale for surveillance(trade/e-comms), asset classes surveilled, and applications used for the same.
  • Must have good understanding of market abuse, types of market abuse, insider trading, wash trading, front running, how to identify the same across various asset classes and use this discretion while closing the alerts.
  • Should have an understanding about Financial Services Industry, the regulatory landscape, with a specific focus on fixed income and foreign exchange surveillance in addition to equities.
  • A solid understanding of capital market instruments etc and knowledge of compliance concepts.
  • Must have good oral and written communication skills in English. An ability to understand compliance policies and process assigned tasks in accordance with procedures would be expected.
  • Bachelor's degree in finance, preferred.

At BNY Mellon, our inclusive culture speaks for itself. Here's a few of our awards:

  • Fortune World's Most Admired Companies & Top 20 for Diversity and Inclusion
  • Bloomberg's Gender Equality Index (GEI)
  • Human Rights Campaign Foundation, 100% score Corporate Equality Index
  • Best Places to Work for Disability Inclusion, Disability: IN – 100% score
  • 100 Best Workplaces for Innovators, Fast Company
  • CDP's Climate Change 'A List'

Our Benefits:

BNY Mellon 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 that can support you and your family through moments that matter. BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

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

Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

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