Associate, Compliance

1 month ago

Pune, India BNY Full time

Associate, Compliance & Control Representative I

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 Representative I to join our Compliance team. This role is located in Pune, MH – HYBRID

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

Responsible for daily email review, marketing material screening, system functional activities and supporting team in daily tasks. Detailed description is as follows:

  • Email Surveillance: All communications internal and external of Registered individuals get archived and get captured under specific policies designated to the operating system for Surveillance. The surveillance executive logs in to the respective department or group on the system and review emails. The compliance analyst is responsible to review emails, provide resolutions to emails in doubt, and escalate emails that violate compliance policies, rules and regulations. The analyst will also be responsible to review 10% of reviewed emails as part of the peer Quality check.
  • Marketing Material Screening: Registered individuals involved in marketing the products and services of the organization are expected to forward only approved brochures, prospectus, product pitch books, product fact sheets/attributions and any other material that is deemed as marketing material to clients or investors. The surveillance executive is responsible to capture all emails with marketing material attachments for further review by the Compliance analyst. The analyst checks for adherence to compliance policies, rules and regulations specified of these materials and classify them as ‘good to review’ or escalate them for any issues detected.
  • System Functional Activity: All Registered individuals need to be added to / deleted from the surveillance operating system to ensure communication is archived and monitored. The Registration / HR department forward Request Action forms which details the required information. The executive actions these requests immediately after they are received. 100% Quality check to be performed by the Compliance Analyst to ensure correctness of the actions performed by the executive.
  • Reporting: Compliance Analyst needs to maintain MIS reports (daily, weekly, monthly, quarterly and annual), Peer Quality Check, timely resolution to escalated issues; team mentoring and ad hoc work as and when applicable.

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

  • Experience with Financial Services Industry regulations, compliance operations or auditing preferred.
  • Must have at least 4-6 years of overall experience.
  • Active FINRA Series 7/ Series 24 license would be preferred. 

 

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.

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