Associate, Compliance

4 weeks ago

Pune, India THE BANK OF NEW YORK MELLON CORPORATION Full time

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” - % of the world’s top banks work with us as we lead and serve our customers into the new era of digital. 

With over 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 , employees across countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what LifeAtBNYMellon is all about. 

Team Description The Compliance Surveillance second level of defense (LoD) team is multifaceted in that it is ) structured to provide independent check and challenge over the LoD trade, e-communications and voice surveillance programs; and ) responsible primarily for the review and escalation of alerts related to already executed trades. The surveillance program is based on a partnership with the line of business, however is independent to ensure the company and individuals within the company comply with all applicable laws, regulations, market standards, and ethical norms. Responsibilities: Primary responsibility is to conduct independent trade surveillance supervisory reviews of the alerts already closed by LoD. 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 LoD. Challenge LoD, 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. Requirements: 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 be well versed with the use of Bloomberg terminal. Should be aware of the 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. At least - years surveillance (trade/e- comms), operations, middle office or trading experience in fixed income and currency products preferred. 

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