Associate, Compliance

1 week ago

Chennai Tamil Nadu, India BNY Mellon Full time

**Overview**

**Associate - II - Grade H - Trade Surveillance**

**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
**Associate** to join our
**Compliance Trade Surveillance**
**team**. This role will be based in Pune - HYBRID work mode.

**Team Description**:
The Central Surveillance 2LoD Team (CST) 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 for the primary review and escalation of Control room related issues resulting from transaction and/or e-communications surveillance alerts.

Central Surveillance is a global group with teams in many locations including New York, Pittsburgh, London, Singapore, Pune, and Chennai providing control oversight in respect of regulatory and governance programs.

While the QA portion of the program is based on a partnership with the business, the function remains independent to ensure that the company and individuals within the company comply with relevant laws, regulations, market standards, and adopt ethical norms while conducting their business.

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

- Conduct thorough daily analysis of automated surveillance alerts through various trade surveillance systems.
- Identify and escalate any potential concerns or risks relating to - but not limited to - regulatory rules such as MAR, MIFID 2 and firmwide policies.
- Assist pillar leads in assessing whether employees globally are in compliance with relevant laws, rules, regulations based on review of alerts closed by 1LoD.
- Check and 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.
- Conduct trend analysis, deep dive investigations on alerts and asset classes as and when required.
- Assist in Trade surveillance metrics & dashboard preparation.

**Requirements**:

- Must have good understanding of methodologies in identifying market abuse across various asset classes and use discretion while closing the alerts.
- Able to demonstrate in-depth trading/product knowledge around trading correlations, use of derivatives and hedging.
- Knowledge of FINRA, SEC (including security-based swaps), CFTC Dodd Frank, and NFA/CME regulations as well as Treasury Market Best Practices.
- Working knowledge of various trade surveillance monitoring systems.
- Strong verbal and written communication skills. Ability to interact with front office and technology personnel.
- Deep working knowledge of Bloomberg and/or Reuters Eikon analytical functionality.
- Strong analytical and project management skills.
- Strong Excel and/or data analysis skills
- Must have good spoken and written communication skills in English. An ability to understand compliance policies and preparation of desktop procedures is expected.
- Bachelor's Degree required, preferably in Finance.
- At least 2-3 years trade surveillance, middle office or trading experience in Fixed income or FX products 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

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