Associate, Compliance

6 months ago


Pune, India BNY Mellon Full time

Overview
Overview Of BNY Mellon
BNY Mellon is a global financial services company focused on helping clients manage their financial assets, operating in 35 countries and serving in more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team.
At BNY Mellon, compliance is everyone's responsibility. Accordingly, compliance and ethical standards are core components of all business functions, and are fundamental to the culture and values of the company. All decisions and actions on behalf of the company must adhere to the highest standards of integrity.
Team Description
The Compliance Surveillance second level of defense (2LoD) team is multifaceted in that it is 1) structured to provide independent check and challenge over the 1LoD trade, e-communications and voice surveillance programs; and 2) responsible primarily for the review and escalation of alerts related to already executed trades.
The surveillance program is based on a partnership with the line of business, however is independent to ensure the company and individuals within the company comply with all applicable laws, regulations, market standards, and ethical norms.

**Responsibilities**:
Primary responsibility is to conduct independent trade surveillance supervisory reviews of the alerts already closed by 1LoD.
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.
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.

**Requirements**:
Must have good understanding of market abuse, types of market abuse, how to identify the same across various asset classes and use this discretion while closing the alerts.
Should be well versed with the use of Bloomberg terminal.
Should be aware of the 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 investment instruments and knowledge of compliance concepts would be an advantage.
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.
Atleast 1-3 years trade surveillance, operations, middle office or trading experience in fixed income and currency products preferred.

**Employer Description**:



  • Baner, Pune, Maharashtra, India Rahul Dang & Associate Full time

    Role Description for Tax And Accounts Associate 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....

  • Associate, Compliance

    6 months ago


    Pune, India BNY Mellon Full time

    Overview Associate, 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...

  • Compliance Associate

    6 months ago


    Pune, Maharashtra, India ZS Full time

    : **ZS** is a place where passion changes lives. As a management consulting and technology firm focused on transforming global healthcare and beyond, our most valuable asset is our people. Here you’ll work side-by-side with a powerful collective of thinkers and experts shaping solutions from start to finish. At ZS, we believe that making an impact demands...

  • Associate, Compliance

    6 months ago


    Pune, India The Bank of New York Mellon Corporation Full time

    Associate, 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...

  • Sanctions Compliance

    3 months ago


    Pune, Maharashtra, India TIAA Full time

    Compliance 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

    4 months ago


    Pune, Maharashtra, India TIAA Full time

    Associate - 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...


  • Pune, Maharashtra, India Checkmarx Full time

    **Who are we?** We are honored to serve more than 1,800 customers, which includes 40 percent of all Fortune 100 companies including Siemens, Airbus, SalesForce, Stellantis, Adidas, Wal-Mart and Sanofi. **What are we looking for?** We are looking for a passionate Corporate/Compliance Junior Associate to join our legal department. The position is based in...


  • Pune, India BNY Mellon Full time

    Overview Associate - US Tax reporting & Compliance Representative I 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....

  • Senior Associate

    2 weeks ago


    Pune, Maharashtra, India Birlasoft Full time

    Birlasoft is a leading global IT services company that helps clients achieve their business goals through innovative technology solutions.We are currently seeking a highly skilled Senior Associate to join our team in Pune, India.The estimated salary for this role is ₹2,300,000 per annum, taking into account the location and industry standards.As a Senior...


  • Pune, Maharashtra, India TIAA Full time

    Associate - 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

    2 weeks ago


    Pune, India BNY Full time

    Associate, Compliance & Control IIAt BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions...


  • Pune, India The Bank of New York Mellon Corporation Full time

    **Associate - US Tax reporting & Compliance Representative I** **_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...


  • Pune, India The Bank of New York Mellon Corporation Full time

    **Associate - US Tax reporting & Compliance Representative I** **_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...


  • Pune, India BNY Full time

    Senior Associate, Compliance & Control (Grade I) –   Surveillance Governance roleAt BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of...

  • Tax Associate

    5 months ago


    Baner, Pune, Maharashtra, India Rahul Dang & Associate Full time

    Individuals**Job Title**: Tax Executive **Location**: Baner, Pune **Job Type**: Full-time **Job Overview**: As a Tax Executive, you will be responsible for overseeing the organization's tax compliance and planning activities. You will ensure that the company adheres to tax laws and regulations while also identifying opportunities for tax optimization. You...


  • Pune, India BNY Full time

    Senior Associate, Compliance & Control – Regulatory Change ManagementAt BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their...


  • Pune, India BNY Mellon Full time

    Overview Associate - US Tax reporting & Compliance 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...

  • Associate, Compliance

    4 weeks ago


    Pune, India BNY Full time

    Associate, Compliance & Control Representative IAt BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table...


  • 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....


  • Pune, India The Bank of New York Mellon Corporation Full time

    **Associate - US Tax reporting & Compliance 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...