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Associate, Compliance & Control Representative I
4-6 years
₹ 3.5 - 7L/yr (AmbitionBox estimate)
This is an estimate of the average salary range for this
position. It has not been reviewed by the company, and
the actual salary may differ.
Pune
1 vacancy
Associate, Compliance & Control Representative I
BNY
posted 2mon ago
Job Role Insights
Flexible timing
Key skills for the job
Job Description
- Email Surveillance: All communications internal and external of Registered individuals get archived and get captured under specific policies designated to the operating system for Surveillance. The surveillance executive logs in to the respective department or group on the system and review emails. The compliance analyst is responsible to review emails, provide resolutions to emails in doubt, and escalate emails that violate compliance policies, rules and regulations. The analyst will also be responsible to review 10% of reviewed emails as part of the peer Quality check.
- Marketing Material Screening: Registered individuals involved in marketing the products and services of the organization are expected to forward only approved brochures, prospectus, product pitch books, product fact sheets/attributions and any other material that is deemed as marketing material to clients or investors. The surveillance executive is responsible to capture all emails with marketing material attachments for further review by the Compliance analyst. The analyst checks for adherence to compliance policies, rules and regulations specified of these materials and classify them as good to review or escalate them for any issues detected.
- System Functional Activity: All Registered individuals need to be added to / deleted from the surveillance operating system to ensure communication is archived and monitored. The Registration / HR department forward Request Action forms which details the required information. The executive actions these requests immediately after they are received. 100% Quality check to be performed by the Compliance Analyst to ensure correctness of the actions performed by the executive.
- Reporting: Compliance Analyst needs to maintain MIS reports (daily, weekly, monthly, quarterly and annual), Peer Quality Check, timely resolution to escalated issues; team mentoring and ad hoc work as and when applicable.
To be successful in this role, we re seeking the following:
- Experience with Financial Services Industry regulations, compliance operations or auditing preferred.
- Must have at least 4-6 years of overall experience.
- Active FINRA Series 7 license would be preferred.
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
Employment Type: Full Time, Permanent
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People are getting interviews at BNY through
People are getting interviews through
(based on 203 BNY interviews)
Job Portal
Referral
Walkin
Company Website
Campus Placement
Recruitment Consultant
31%
14%
14%
13%
11%
3%
14% candidates got the interview through other sources.
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High Confidence means the data is based on a large number of responses received from the candidates.
What people at BNY are saying
Rating based on 19 Representative
reviews
Anonymous · Finance & Accounting - Other
in Chennai
Likes
Working ambiance is good
Dislikes
On 2024 there are more changes BNY MELLON it's affecting employees.
Read 19 reviewsRepresentative salary at BNY
reported by
169
employees
with 1-6
years exp.
₹2.5
L/yr - ₹7
L/yr
35%
more
than the average Representative Salary in India
View more details
What BNY employees are saying about work life
based on 3.8k employees
Flexible timing
Monday to Friday
No travel
Day Shift
BNY Benefits
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