Associate, Compliance
3 weeks ago
Associate, Compliance & Control Representative II
At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
Recognized as a top destination for innovators and champions of inclusion, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary
We’re seeking a future team member for the role of Associate, Compliance & Control Representative II to join our team. This role is located in Pune, MH - HYBRID.
In this role, you’ll make an impact in the following ways:
- The Person should be moderately skilled in Compliance, Regulatory requirements like UCITS, ERISA, US 40 Act etc. Review and interpret all governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses, Statement of Additional Information (SAI), and Fund Declarations. Participate in the new account setup and guideline change process. Develop and test automated rules in ALADDIN, and any associated manual monitoring needed. Review EOD portfolio compliance results, identify and resolve any active or passive compliance issues. Work with Portfolio Management, Trading, Data Management and Investment Control to determine trade suitability, review daily trading activity and identify and resolve any associated compliance issues. Proficiency in Bloomberg and other major software applications Assist Team Lead on any assigned projects & Participate in ongoing testing of web enhancements.
- Problems faced by this position may be highly complex involving different financial instruments, different groups and people in different geographical locations. Review EOD portfolio compliance results, identify and resolve any active or passive compliance issues – Both post trade and pre-trade Investigate and Authorize Portfolio managers trades on a real time basis as per of pre-trade checks/alerts in ALADDIN.
- The position impacts business significantly on day to day basis as every trade booked by the Portfolio manager/trader will need to be reviewed for alerts and authorized post review. Incorrect approvals can result in loss of client and it would breach the client’s guideline agreement. Nature of impact is both financial and reputational. Also part of post trade Compliance the position is also responsible to monitor trades and make sure that they are within investment guidelines. The position revolves around core financial knowledge (CFA), critical decision making and avoiding risks. The breadth of impact of decisions taken by the person could affect the business and market reputation.
To be successful in this role, we’re seeking the following:
- Bachelor's degree preferably in computer science/engineering or a related discipline.
- Experience in Alladin preferred.
At BNY, our culture speaks for itself, check out the latest BNY news at:
BNY Newsroom
BNY LinkedIn
Here’s a few of our recent awards:
- America’s Most Innovative Companies, Fortune, 2025
- World’s Most Admired Companies, Fortune 2025
- “Most Just Companies”, Just Capital and CNBC, 2025
Our Benefits and Rewards:
BNY 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, including paid volunteer time, that can support you and your family through moments that matter.
BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
-
Compliance Associate
6 days ago
Pune, India QuinStreet Full time**Powering Performance Marketplaces in Digital Media** QuinStreet is a pioneer in powering decentralized online **marketplaces that match searchers and "research and compare" consumers with brands**. We run these virtual - and private-label marketplaces in one of the nation's largest media networks. Our industry leading segmentation and AI-driven **matching...
-
Compliance Associate
1 week ago
Pune, Maharashtra, India TIAA Full timeCompliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision,...
-
Associate, Compliance
6 days ago
Pune, India The Bank of New York Mellon Corporation Full timeAssociate, Compliance & Control II **_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...
-
Associate Compliance
2 days ago
Pune, Maharashtra, India TIAA Full timeAssociate - Compliance (AML & Sanctions) - IN The role will be responsible to support enterprise-wide AML/BSA Program to ensure regulatory requirements are met, and to protect the institution from financial crimes risks. This individual is also responsible for supporting the AML target operating model by driving efficiency and effectiveness of the program...
-
Associate - Nuveen Portfolio Compliance
1 week ago
Pune, Maharashtra, India TIAA Full timeAssociate - Investment Compliance The objective for the Portfolio Compliance Team is to reduce the risk associated with Portfolio Managers/traders investing of portfolios. Key Responsibilities and Duties - This role focuses on working very closely with Portfolio Managers and traders to identify, investigate, and report compliance risks. - This role may...
-
Associate, Compliance
3 weeks ago
Pune, India BNY Full timeAssociate, Compliance & Control Representative II At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and...
-
Associate Control
3 weeks ago
Pune, India Ecolab Full timeJOB DESCRIPTION At Ecolab, you can help take on some of the world’s most meaningful challenges, delivering critical insights and innovative solutions to help our customers achieve clean water, safe food, abundant energy and healthy environments. With our worldwide reach and ambitious growth plans, you will have the opportunity to own your future and impact...
-
Compliance Associate
4 hours ago
Pune, Maharashtra, India Iamops Full time ₹ 9,00,000 - ₹ 12,00,000 per yearKey Responsibilities:1. Risk Assessment and Management• Assist in gathering information and preparing inputs for risk assessments across organizational and technical domains.• Help maintain and update risk registers, mapping identified risks to relevant ISO 27001 controls.2. Compliance Implementation• Support the implementation of compliance frameworks...
-
Compliance Manager, Compliance
2 days ago
Pune, Maharashtra, India CLSA Full time ₹ 12,00,000 - ₹ 36,00,000 per yearKey Areas of ResponsibilitiesGeneral electronic communications and trading surveillance reviews, including focus on potential insider trading and market manipulationInvestigate and close out monitoring alerts thoroughly in a timely manner, and ensure significant issues identified are fully investigated and promptly escalated where necessaryDrive continuous...
-
Accounts and Tax Associate
6 days ago
Pune, Maharashtra, India Rahul Dang & Associate Full time**Role Description for Accounts And Tax Executive** 1. Closing of Statutory Audit, Tax Audit, and GST audit of clients independently and with the support of seniors wherever required 2. Handling Direct and indirect Taxation work of clients independently 3. Handling TDS & and advance tax Compliance work independently 4. Transactional Advisory work. 5....