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Associate, Compliance

2 months ago

pune, India BNY Mellon Full time

Associate, Compliance & Control II

At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere.    

We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what #LifeAtBNY is all about.

We’re seeking a future team member for the role of Associate, Compliance & Control II to join our Central Surveillance team. This role is located in Pune, MH – HYBRID.

Team Description

The Compliance Surveillance is a multifaceted team which is responsible for 01) to provide independent quality check and challenge over the E-communications, Voice, and Trade surveillance programs. 02) Undertaking L1 review of surveillance alerts generated in E-comms, Trade and Voice programs to detect potential instances of Market Abuse & Breaches of information boundaries or internal policies.

The surveillance program is based on a partnership with the line of business, however is also independent to ensure that the company and individuals within the company comply with all applicable laws, regulations, market standards, and ethical norms.

In this role, you’ll make an impact in the following ways: 

  • Review of Electronic communications, conduct initial analysis and identifying any irregularities or discrepancies as part of the review process and investigating and escalating activity as appropriate.
  • 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.
  • Ensuring the meet of all the key Performance Indicators as agreed in the PLA’s. (Quality and TAT)
  • Liaising and collaborating with IT Support, L2 Compliance, Business Partners to handle raised cases and potential changes regarding surveillance software and systems.
  • Brining in additional controls, if required, to improve the quality of deliverables.
  • Identification of risk and communicating the same with internal management and business partners.
  • Maintaining and updating process related documents on regular basis.
  • Ensuring the completion of Mandatory training modules as per the agreed timelines.
  • 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.
     

To be successful in this role, we’re seeking the following: 

  • The ideal candidate must possess knowledge of and rationale for surveillance(trade/e-comms), asset classes surveilled, and applications used for the same.
  • 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 have an understanding about the use of Bloomberg terminal.
  • Should have an understanding about 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.
  • Min 2.5 years relevant experience in surveillance (trade/e- comms), operations, middle office or trading experience in fixed income and currency products preferred with total 4+ years of work experience required.


At BNY, our culture speaks for itself. Here’s a few of our awards: 

  • America’s Most Innovative Companies, Fortune, 2024
  • World’s Most Admired Companies, Fortune 2024
  • Human Rights Campaign Foundation, Corporate Equality Index, 100% score, 2023-2024
  • Best Places to Work for Disability Inclusion, Disability: IN – 100% score, 2023-2024
  • “Most Just Companies”, Just Capital and CNBC, 2024
  • Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024
  • Bloomberg’s Gender Equality Index (GEI), 2023


Our Benefits and Rewards: 

BNY 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, including paid volunteer time, that can support you and your family through moments that matter. 

BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.


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.