Associate, Control II

1 month ago

Pune, India BNY Mellon Full time

Associate 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 Control II to join our Markets Control team. This role is located in Pune –HYBRID.

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

  • This role involves below focus areas: 
    • Developing Python Script to implement Trader Surveillance and Supervision controls (using unstructured data)
    • Knowledge of Workflow Tool, including application of flowcharts and logical operators.
    • Must possess strong logical and analytical skills for code optimizations.

Other exposure and opportunity to collaborate on below:

  • Develop tactical supervisory controls to facilitate better supervision for regulated roles i.e. sales and trading. Supervisory controls include developing and supporting PNL and unauthorized trading related controls.
  • Develop, maintain, and support variety of functionalities via inhouse supervisory controls application and other regulated applications. 
  • Under minimal supervision, assist with the monitoring and reporting of established controls and the implementation of new controls procedures.
  • Initiating joiner, mover, and leaver checklists for Markets employees via inhouse system and suggest methods for its enhancement.
  • Suggest changes to improve work processes and improve efficiency.
  • Compile data into a useable format for more senior team members and conduct basic, preliminary analyses of collected data.
  • Collaborate on other work and initiatives of the Markets Control Team, including other surveillance and Supervisory Projects.
  • Review and verify that the activities of the assigned areas are aligning with the overall control procedures.
  • With minimal guidance, recommend remedial action if/when issues arise within the team or found within the output of work conducted of the 1LoD.
  • Maintaining up to date processes and procedures for the supervisory function. Carry out monthly reconciliation of Sensitive, AP and FINRA employees. Produce weekly ageing count report for ecomms surveillance stats.
     

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

  • Bachelors/ master’s degree/ MBA or relevant professional qualification would be advantageous.
  • Relevant experience in a similar Supervision, Compliance, Risk and Control or Regulatory role. 
  • 3-5 years of banking, product/financial services and/or compliance experience preferred with 2+ years related to supervision and surveillance processes.
  • Experience in Superviosary related tasks would be a plus. 
  • Longstanding interest in the development of global financial markets. 
  • Strong understanding of a wide range of financial instruments would be advantageous. 
  • Strong working knowledge of the applicable regulatory principles and rules, which are more from superviosary point of view. 
  • Proven investigative skills and an analytical mindset are essential. 
  • Preferable to have knowledge of the Financial Services Industry, with a specific focus on supervision and surveillance protocols.
  • Good understanding of product life cycle and regulatory environment. 
  • Oral and written communication skills and the ability to understand policies and process assigned tasks in accordance with procedures. 
  • Ability to work independently and manage stakeholder relationship.
  • Ability to keep pace with a dynamic work environment, manage projects along with BAU, prioritize tasks as required.
  • Basic proficiency in MS Office Tools and applications
  • Python experience will be a plus.

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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