Vice President, Electronic Communication- Compliance

2 months ago

Chennai, India BNY Mellon Full time

Vice President – J Grade – E-Comm Surveillance – Chennai 

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.

The Compliance Governance function designs, delivers, and manages the compliance framework across the Firm. This includes but is not limited to Compliance Risk Reporting, Compliance Issues Management, Lesson Learned, and Risk Control Self-Assessment (RCSA). 

We’re seeking a future team member for the role of Vice President to join our Compliance E-Comm Surveillance team. This role will be based in Chennai.

Team Description:

The Compliance Surveillance 2LoD team is multifaceted in that it is 1) structured to provide independent check and challenge over the 1LoD Trade, e-Communications, and Voice surveillance programs; and 2) responsible for the primary review and escalation of e-Communication alerts of various business functions that are under surveillance. 

While the surveillance program is based on a partnership with the business; the function remains independent to ensure that the company and individuals within the company comply with relevant laws, applicable policies, regulations, market standards, and ethical norms while conducting business. 

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

  • To lead, coach and motivate a team, which conducts independent e-communication surveillance.
  • To conduct random supervisory reviews of the alerts to ensure the team is working as per guidelines.
  • Stakeholder management, process management and liaising with different functions and different teams as and when required.
  • Secondary responsibility may require conducting limited review of alerts from various queues that are brought under surveillance purview.
  • Collaborate with various stakeholders, including the technology team regularly to refine the surveillance application and alert quality thereof.
  • Provide and seek regular and timely feedback and escalate issues to the line manager and other appropriate stakeholders and track through closure.
  • Review the process manual at least annually and come up with ideas to enhance process efficiency and reduce redundancy
  • Document the reviews and outcomes to ensure complete and accurate audit trail.
  • Lead and participate in projects including UATs.
  • Must be the subject matter expert in E-comm Surveillance including lexicon governance and documentation.
  • Should have knowledge of the Financial Services Industry, with a specific focus on E-Comm surveillance.
  • Excellent spoken and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
  • Bachelor’s Degree required, preferably in Finance.
  • Advanced PowerPoint and Excel skills would be an added advantage.

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

  • A candidate with knowledge of and rationale for e-communication surveillance, able to lead from the front, be a guide and mentor to the team. Knowledge of Trade surveillance will be an added advantage.
  • Should have an overall experience of 6-10 years in risk, compliance or audit function out of which atleast 4 years should be working in e-communication surveillance and leading a team of e-communication surveillance specialists.
  • Must be experienced in stakeholder management and preferably should have participated in the exercise of lexicon refinement and/or governance to ensure reduction in false positive alerts.
  • Solid understanding of investment instruments and a general knowledge of compliance concepts

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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