Associate, Compliance

5 months ago

Pune Maharashtra, India BNY Mellon Full time

Overview
G Grade - Senior Representative, Compliance & Control

Overview of BNY Mellon

BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 35 countries and serving 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 Program is based on a partnership of business managers and control function personnel, and is intended to ensure that the company complies with relevant laws, regulations, market standards, and ethical norms.

Compliance is responsible for all matters relating to regulatory change, working alongside the Legal department. The team also coordinates the submission of regular reports to local regulators, maintains relevant regulatory registers, coordinates the submission of relevant forms, as well as regulatory visits by the regulators, including the gathering of information requested by the regulator.

Financial Crimes Compliance (“FCC”) focuses on anti-money laundering/countering terrorist financing regulatory matters, including anti-bribery and anti-tax evasion compliance. FCC function includes testing the AML/CTF controls of the business and other business partners, reviewing transactions for concerning activity or policy violations, as well as developing and conducting relevant training.

**Responsibilities**:
Investigate and research cases and potentially suspicious situations, conducting high-level complex case investigations, efficiently arriving at sound risk-based conclusions.
Analyze, investigate, and resolve financial crime related red flags flagged as potentially suspicious transactions or exceptions. Escalate potential risk proactively to the Management.
Ensure all documents are accurately checked processed and released in compliance with regulatory and internal operational instructions.
Maintain Subject matter expertise by keeping up to date on changes to policies and standards.
Uses strong communication skills to engage in challenging conversations with internal stakeholders and complex external clients in order to support an accurate data-gathering process and resolve any open issues.
Provides guidance to less experienced AML staff as and when needed. No direct reports. Manages situations which may require adaptation of response or extensive research according to client response.

**Requirements**:
2-5 years of experience in AML and other financial crime related areas.
Ability to analyze and interpret information exercising sound judgement and attention to detail.
Good understanding of AML, Sanctions, KYC and other financial crime related rules and regulations.
Ability to identify and recommend possible improvements to enhance AML risk and process efficiency.
Strong knowledge of BSA, AML, OFAC, CIP, USA Patriot Act requirements and regulations.
Banking knowledge in terms of Customers, Products and transactions with expertise in retail, Corporate, private or correspondent banking.
Possess strong Linguistic and articulations/report writing skills.
Possess Positive attitude with good analytical and presentation skills.
Any AML related certification would be preferred.

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