Associate, Compliance

4 weeks 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 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 Grade H - Associate to join our PST - Compliance & Control team. This role is located in Pune, MHA - HYBRID.

**In this role, you’ll make an impact in the following ways**:
Supports the day-to-day efforts related to assessing whether employees are in compliance with relevant laws, rules, regulations and the company’s personal securities trade Policy.
Monitors compliance with the Personal Securities Trade Policy for India employees, reviews transactions and holdings statements manually and reconciles discrepancies working with employees; reviews / reports all potential violations (Red Flags) of the policy
Under mínimal supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues.
As an experienced team member, suggests changes to improve work processes, counsels employees and business personnel on compliance with policies and guides lower level peers on procedures and reviews the quality of their work.
With mínimal guidance, researches and collects data on compliance and control-related activities.
Compiles data into a useable format for more senior team members and may conduct basic, preliminary analyses of collected data.
Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy.
Independently prepares reports for management on the business line's compliance status and may assign report development tasks to more junior support staff.
Reviews reports with more senior support roles to confirm accuracy and completeness and checks reporting prepared by more junior support staff.
Counsels business personnel and management on remaining in compliance or improving their alignment with established controls and compliance goals.

**To be successful in this role, we’re seeking the following**:
Preferable the knowledge of the Financial Services Industry, U.S. securities markets and investment instruments and a general knowledge of compliance concepts
Oral and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.

**Employer Description**:


  • Compliance Associate

    4 weeks ago


    Pune, India QuinStreet Full time

    **Powering Performance Marketplaces in Digital Media** QuinStreet is a pioneer in powering decentralized online **marketplaces that match searchers and "research and compare" consumers with brands**. We run these virtual - and private-label marketplaces in one of the nation's largest media networks. Our industry leading segmentation and AI-driven...


  • Pune, Maharashtra, India THE BANK OF NEW YORK MELLON CORPORATION Full time

    Associate, Compliance & Control 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. Known as the...

  • Tax Associate

    2 weeks ago


    Pune, Maharashtra, India Rahul Dang & Associate Full time

    **Role Description for Tax 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. Handling...


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

    Currently, we have an opening for an Accounts and Tax Associate at Baner (Radha Chouk) 1. Statutory audits 2. Tax Audits and Income Tax Returns 3. Internal Audits 4. Accounting 5. GST Compliance, litigation and refunds 6. Other compliance work related to Profession Tax, TDS, etc. 7. Rera Compliance 8. Advisory services 9. Annual Secretarial...


  • Pune, Maharashtra, India BNY Mellon Full time

    Associate, Compliance & Control 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. Known as the "bank...


  • 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....

  • Compliance Associate

    2 weeks 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...


  • Pune, Maharashtra, India BNY Mellon Full time

    OverviewAssociate - II - Grade H - Trade SurveillanceBring 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...


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

    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...

  • Associate, Compliance

    4 weeks 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...


  • Pune, Maharashtra, India TIAA Full time

    Associate - Investment ComplianceThe 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 also...


  • 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....


  • 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...


  • Pune, Maharashtra, India THE BANK OF NEW YORK MELLON CORPORATION Full time

    Compliance Assistant Position at BNY MellonContributes to the compliance efforts of the business unit under direct supervision.Helps assess and ensure compliance with regulatory and policy requirements.Reviews work for accuracy with experienced professionals.Assists in drafting documentation for control changes.Analyzes legislation, regulatory announcements,...


  • Pune, Maharashtra, India BNY Mellon Full time

    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...


  • Pune, Maharashtra, India THE BANK OF NEW YORK MELLON CORPORATION Full time

    Supports the day-to-day efforts related to assessing whether assigned areas are in compliance with relevant laws, rules, regulations and policies and that control mechanisms are being deployed as expected. Under minimal supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response...


  • 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 Rahul Dang & Associate Full time

    Rahul Dang & Associates. (CA Firm), Baner, Pune. We are fastest growing organization working in Direct & Indirect Taxation, Audit & Assurance Services, Business Advisory, Corporate Services, Financial Planning Services etc. Office Location: Office No. 402, Snehraj, Near Radha Hotel, Radha Chowk, Baner, Pune-411045 **Currently, we have a vacancy for...

  • Tax Associate

    2 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...