Senior Associate, Enterprise Risk

1 month ago

Pune, India BNY Full time

Senior Associate, Enterprise Risk

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 Senior Associate, Enterprise Risk to join our RCAT Compliance Testing team (Americas). This role is located in Pune, MH / Chennai, TN – HYBRID.

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

  • Support Compliance Testing Manager for scoping and execution of the Annual Compliance Testing program.
  • Contribute to the timely execution of Americas Compliance Testing reviews of business activities in accordance with Global Compliance Testing Manual methodology, thereby ensuring adherence to Americas Laws, Rules and Regulations, Corporate and Business Line Policies and Procedures applicable to the BNY businesses, products and services, under the guidance of local CTM/CTOs. 
  • Support in tracking and completing outstanding Compliance Testing actions.
  • Participate and contribute to Compliance, Compliance Testing and business meetings and where applicable, represent Compliance Testing at meetings with the Businesses under review and/or Business Compliance Officers
  • Act as liaison between Business Compliance Officers, Compliance Testing and BNY businesses
  • Contribute to assigned ad hoc Compliance/Compliance Testing related project

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

  • Education: minimum graduate. Professional qualifications such as CPA, Chartered Accountant, CIA, FINRA Securities Industry Essentials (SIE) Exam, Chartered Institute for Securities & Investment (CISI) IOC exams merit award / IMC / CFA preferred or should be willing to commence study immediately for any of these and pass within one year of joining.
  • Preferred experience: Minimum of 2-4 years industry experience out of which minimum 2 years of Compliance, testing and/or audit experience.
  • Strong knowledge of the financial services regulatory environment is essential
  • Required skills: excellent knowledge of Computer and MS Office (Word, Excel & PowerPoint)
  • Good report writing and presentation skills.
  • Good analytical skills capable of identifying, collating and distilling relevant information
  • Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high level of accuracy.
  • Superior interpersonal and communication, and negotiation skills. 
  • Knowledge and awareness of compliance laws, rules, regulations, risk and regulatory requirements
  • Ability to work effectively in a fast-paced environment, with the ability to prioritize and balance competing, time sensitive demands.


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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