Senior Associate, Enterprise Wide Function- Compliance

3 weeks ago


Pune, Maharashtra, India BNY Full time

Compliance Role Overview

We are seeking a highly skilled Compliance Specialist to join our Enterprise Wide Functions Compliance team in Pune, MH – HYBRID. As a key member of our team, you will play a crucial role in identifying, analyzing, monitoring, and minimizing areas of risk that pertain to Compliance and regulatory change.

Key Responsibilities

  • Verify practices against policies, prepare management reports, counsel business personnel on compliance with policies, and provide advice to mid-to-entry-level employees on conflicts of interest situations.
  • Support management of incident/suspicious activity reporting processes, ensure timely escalation of issues, and provide credible challenge on root cause analysis and remedial action taken.
  • Support analysis of existing and proposed legislation, regulatory announcements, and industry practices to help assigned businesses develop and implement procedures to meet existing and upcoming requirements.
  • Training and Development
    • Deliver targeted face-to-face training for relevant high-risk compliance topics to increase the culture of compliance and awareness of Compliance Policies for coverage areas.
    • Partner with colleagues in India to deliver curriculum as appropriate.

Requirements

  • Good understanding of/familiarity with Financial Services Industry regulators and regulations in US, European, and other regions.
  • Excellent verbal and written communication skills in English, with the ability to understand compliance policies and process assigned tasks in accordance with procedures.
  • 3-5 years of total work experience, preferably in Financial Services, Audit, Compliance, or Technology, with experience in financial services compliance and/or experience with assigned products, services, or business lines/areas and the pertaining laws, regulations, and rules of relevant regulators.
  • Experience with working with large data sets and strong Excel skills.
  • Alert management immediately of any significant changes to business risks and internal controls effectiveness.
  • Excellent written and verbal communication skills.
  • No Direct Reports.

BNY Culture and Benefits

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, focusing on your health, fostering your personal resilience, and reaching 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.



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