Associate, Compliance

3 weeks ago

Pune Maharashtra, 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, insider trading, wash trading, front running, 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 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 least 1-3 years surveillance (trade/e
- comms), operations, middle office or trading experience in fixed income and currency products preferred.

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.

**Employer Description**:

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