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BNY

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4.0

based on 3.9k Reviews

625 BNY Jobs

Associate, Compliance & Control II

BNY Mellon International Operations (India)

4.0

based on 3.9k Reviews

3-5 years

Pune

1 vacancy

Associate, Compliance & Control II

BNY

posted 5mon ago

Job Role Insights

Flexible timing

Key skills for the job

Finance Auditing Compliance Financial Services Bloomberg Focus

Job Description

We re seeking a future team member for the role of Associate, Compliance and Control II to join our team. This role is located in Pune, MH -HYBRID.

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

Manages a regional/jurisdictional team of support staff responsible for supporting the assessment of regulatory and policy requirements in order to develop programs and projects to improve regional/jurisdictional compliance.
Leads the support teams assessment of data and development of reporting to support managements presentation of program and project recommendations to more senior managers.
May recommend strategy changes to further improve the regions/jurisdictions ability to remain in compliance with or become compliant with applicable laws, policies and regulations.
Responsible for appropriately implementing the overall compliance strategy within the assigned region/jurisdiction.
Guides the teams analysis of existing and proposed legislation, regulatory announcements and industry practices within the region/jurisdiction in order to identify opportunities for alignment with the global compliance strategy.
Helps more senior managers within the region/ jurisdiction to appropriately implement approved procedures to meet requirements.
Contributes to the assessment and validation of control processes to ensure compliance with laws, rules and regulations.
Contributes to efforts to develop a strong compliance culture and increase organizational awareness of compliance roles and responsibilities within the assigned region/ jurisdiction.
Continues to build relationships with business unit managers to increase the likelihood of timely completion of compliance activities and responses to reports issued by regulatory agencies or audit.
Build relationships with regulators and government officials and appropriately escalates issues raised by these contacts to more senior managers.
Recruits, directs, motivates and develops support staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team.
Provides feedback at the most critical times.Manages a regional/jurisdictional team of support staff responsible for providing technical support for professional and management staffs assessment of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting regional/jurisdictional BNY businesses.
Manages the teams support of comprehensive, risk based reviews of existing and emerging regulatory requirements. Reviews reporting produced by the team and appropriately escalates issues to more senior managers.
Responsible for the achievement of support team goals. Manages the financial resources of the team (budgets, expenses, etc.).Modified based upon local regulations/requirements.

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

FINRA Series 7 and 24 required
Bachelor s degree or the equivalent combination of education and experience is required. MBA or professional certification preferred.
3-5 years of total work experience from Financial Services, Audit or Compliance 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 required.

Employment Type: Full Time, Permanent

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