Associate, Compliance

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.

**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.