Associate, Control Ii
6 months ago
Overview
Supervision and Surveillance Analyst, Markets Control
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 Analyst to join our Markets Control team. This role is located in Pune ( HYBRID mode ).
**In this role, you’ll make an impact in the following ways**:
Initiating joiner, mover, and leaver checklists for Markets employees via inhouse system and suggest methods for its enhancement.
Analysing trade surveillance alerts from market abuse perspective.
Generating superviosary conduct scorecards for Markets line of business. This includes violations from individual and business standpoint.
Carry of transaction testing of Markets employees
Initiate and maintain delegation forms of sensitive employees.
Supporting business and counterparts for the tasks related to superviosary activities.
Under mínimal supervision, assist with the monitoring and reporting of established controls and the implementation of new controls procedures in response to regulatory changes or compliance issues.
Suggest changes to improve work processes and improve efficiency.
Compile data into a useable format for more senior team members and conduct basic, preliminary analyses of collected data.
Collaborate on other work and initiatives of the Markets Control Team, including other surveillance and Supervisory Projects.
Review and verify that the activities of the assigned areas are aligning with the overall control procedures
With mínimal guidance, recommend remedial action if/when issues arise within the team or found within the output of work conducted of the 1LoD.
Communicating findings both in written form and verbally.
Maintaining up to date processes and procedures for the superviosary function.
Carry out monthly reconciliation of Sensitive, AP and FINRA employees
Produce weekly ageing count report for ecomms surveillance stats.
**To be successful in this role, we’re seeking the following**:
Relevant experience in a similar Risk and Control, Trade surveillance, Compliance or Regulatory role.
Experience in superviosary related tasks would be a plus.
Longstanding interest in the development of global financial markets.
Strong understanding of a wide range of financial instruments would be advantageous.
Strong working knowledge of the applicable regulatory principles and rules, which are more from superviosary point of view.
Proven investigative skills and an analytical mindset are essential.
3-4 years banking, product/financial services and/or auditing or compliance experience preferred with 2+ years related to supervision and surveillance processes.
Preferable to have knowledge of the Financial Services Industry, with a specific focus on supervision and surveillance protocols.
Good understanding of product life cycle and regulatory environment.
Oral and written communication skills and the ability to understand policies and process assigned tasks in accordance with procedures.
**Preferred**: Master’s degree or bachelor’s degree.
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.
**Employer Description**:
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