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Engaged Employer

BNY

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4.0

based on 3.9k Reviews

573 BNY Jobs

Associate, Electronic Communication Surveillance

BNY Mellon International Operations (India)

4.0

based on 3.9k Reviews

3-7 years

Pune

1 vacancy

Associate, Electronic Communication Surveillance

BNY

posted 1mon ago

Job Role Insights

Flexible timing

Key skills for the job

Placement Finance Auditing IT Support Compliance Financial Services

+ 4 more

Job Description

The Compliance Surveillance is a multifaceted team which is responsible for 01) to provide independent quality check and challenge over the E-communications, Voice, and Trade surveillance programs. 02) Undertaking L1 review of surveillance alerts generated in E-comms, Trade and Voice programs to detect potential instances of Market Abuse & Breaches of information boundaries or internal policies.

The surveillance program is based on a partnership with the line of business, however is also independent to ensure that the company and individuals within the company comply with all applicable laws, regulations, market standards, and ethical norms.

Review of Electronic communications, conduct initial analysis and identifying any irregularities or discrepancies as part of the review process and investigating and escalating activity as appropriate.
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.
Ensuring the meet of all the key Performance Indicators as agreed in the PLA s. (Quality and TAT)
Liaising and collaborating with IT Support, L2 Compliance, Business Partners to handle raised cases and potential changes regarding surveillance software and systems.
Brining in additional controls, if required, to improve the quality of deliverables.
Identification of risk and communicating the same with internal management and business partners.
Maintaining and updating process related documents on regular basis.
Ensuring the completion of Mandatory training modules as per the agreed timelines.
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, we re seeking the following:

The ideal candidate must possess knowledge of and rationale for surveillance(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 have an understanding about Financial Services Industry, the regulatory landscape, with a specific focus on fixed income and foreign exchange surveillance in addition to equities.
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.
Bachelor s degree in finance, preferred.
Minimum 3 years relevant experience in Electronic Communication surveillance experience.

Employment Type: Full Time, Permanent

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