Associate, Compliance

2 months ago

Chennai, India BNY Mellon Full time

Overview
Grade - G
Timings for Chennai Location - 2:00 pm till 10:30 pm IST
Timings for Pune Location - 5:30 pm till 2:30 pm IST

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**:
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.
With moderate supervision, researches and collects data on compliance and control-related activities.
Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy.
Prepares reports for management on compliance status and reviews reports with more senior roles to confirm accuracy and completeness.
Identifies issues and escalates to more senior staff.
Produces standard quantities of data to support risk based reviews of existing and emerging regulatory requirements.
Contributes to the achievement of team objectives.

**Requirements**:
Prefer knowledge of the financial services industry, surveillance and/or forensics and related compliance concepts.
Oral and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
3 - 5 years of total work experience preferred. Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.

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