Job Description

:At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the worlds financial system we touch nearly 20% of the worlds 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.Were seeking a future team member for the role of Associate, Compliance & Control II to join our Risk & Compliance team. This role is in Pune, Maharashtra - Hybrid Model.In this role, youll make an impact in the following ways:

• Primary responsibility is to conduct independent trade surveillance supervisory reviews of the alerts already closed by 1LoD.
• 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 1LoD.
• Challenge 1LoD, 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.

To be successful in this role, were seeking the following:

• 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.
• Bachelors degree in finance, preferred.
• At least 1-3 years surveillance (trade/e- comms), operations, middle office or trading experience in fixed income and currency products preferred.

At BNY, our culture speaks for itself. Heres a few of our awards:

• Americas Most Innovative Companies, Fortune, 2024
• Worlds Most Admired Companies, Fortune 2024
• Human Rights Campaign Foundation, Corporate Equality Index, 100% score, 2023-2024

, Disability: IN - 100% score, 2023-2024 * Most Just Companies, Just Capital and CNBC, 2024

• Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024
• Bloombergs 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 lifes 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.BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans.Our ambition is to build the best global team - one that is representative and inclusive of the diverse talent, clients and communities we work with and serve - and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

BNY Mellon