Senior Associate, Enterprise Wide Function- Compliance

1 month ago

Pune, India BNY Full time

Senior Associate – Enterprise Wide Functions Compliance

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 to join our Enterprise Wide Functions Compliance team. This role is located in Pune, Maharashtra – HYBRID.

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

  • Identify, analyze, monitor and minimize the areas of risk that pertain to Compliance and regulatory change. Leads coordination with global Compliance and the businesses.
  • Responsibilities may include verifying practices against policies, preparing management reports, counselling business personnel on compliance with policies, providing advice to mid to entry-level employees, assessing and providing advice on conflicts of interest situations and reviewing Interaffiliate agreements/Service Level Description documents
  • Support management of incident / suspicious activity reporting processes and ensure escalation of issues in a timely manner; provide credible challenge on root cause analysis and remedial action taken. Oversight of the production of associated MI and trend analysis
  • Support in analysis of existing and proposed legislation, regulatory announcements and industry practices in order to help the assigned businesses develop and implement procedures to meet existing and upcoming requirements
  • Deliver targeted face-to-face training for relevant high-risk compliance topics to increase culture of compliance and awareness of Compliance Policies for coverage areas; Partner with colleagues in India to deliver curriculum, as appropriate
  • Supports management in the day-to-day efforts related to compliance with laws, rules, regulations and related policies including administrative support to senior members of the department in creation and maintenance of relevant records
  • Contribute to the collation and presentation of metrics to indicate the effectiveness of BNY’s Business Compliance program across India
     

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

  • Good understanding of/familiarity with the Financial Services Industry regulators and regulations in US, European and other regions. 
  • Excellent verbal and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
  • 3-5 years of total work experience preferred. Financial Services, Audit, Compliance or Technology background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.
  • Experience with working with large data sets and strong excel skills.
  • Alert management immediately of any significant changes to business risks and internal controls effectiveness;
  • Excellent written and verbal communication skills
  • No Direct Reports


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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