filter salaries All Filters (1)

Clear all

10 Foreign Exchange Jobs in Pune

Associate, Compliance & Control II

4-10 years

Pune

1 vacancy

Associate, Compliance & Control II

BNY

posted 1d ago

Job Description

Associate, Compliance Control II

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.

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.

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

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

Team Description

The Compliance Surveillance is a multifaceted team which is responsible for 01) to provide independent quality check and challenge over the E-communications 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.

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.


Employment Type: Full Time, Permanent

Read full job description

Prepare for Compliance roles with real interview advice

Compare BNY with

State Street Corporation

3.7
Compare

Northern Trust

3.7
Compare

HSBC Group

3.9
Compare

JPMorgan Chase & Co.

4.0
Compare

Goldman Sachs

3.5
Compare

Morgan Stanley

3.7
Compare

UBS

3.9
Compare

Bank of America

4.3
Compare

Bajaj Finserv

4.0
Compare

Wells Fargo

3.8
Compare

Cholamandalam Investment & Finance

3.9
Compare

Citicorp

3.7
Compare

American Express

4.2
Compare

Motilal Oswal Financial Services

3.7
Compare

IDFC FIRST Bharat

4.5
Compare

HDFC Sales

4.0
Compare

Aditya Birla Capital

3.9
Compare

BNP Paribas

3.8
Compare

FactSet

3.9
Compare

Aon

3.8
Compare

Similar Jobs for you

Operations at JPMorgan Chase

Mumbai

9-13 Yrs

₹ 14-15 LPA

Senior Associate at BNY Mellon International Operations (India)

Pune

12-15 Yrs

₹ 14-15 LPA

Associate at BNY Mellon International Operations (India)

Pune

5-7 Yrs

₹ 10-11 LPA

Associate at BNY Mellon International Operations (India)

Chennai

1-4 Yrs

₹ 6-10 LPA

Associate at BNY Mellon International Operations (India)

Pune

3-10 Yrs

₹ 5-12 LPA

Vice President Operations at BNY Mellon International Operations (India)

Pune

8-13 Yrs

₹ 10-22 LPA

Compliance at FIL India Business Pvt. Ltd

Gurgaon / Gurugram

5-8 Yrs

₹ 7-10 LPA

Compliance Officer at IndiaBonds

Mumbai

10-12 Yrs

₹ 12-14 LPA

Senior Lead at DEUTSCHE BANK AG

Bangalore / Bengaluru

10-12 Yrs

₹ 12-14 LPA

Analyst at Sanofi India Ltd

Mumbai

8-10 Yrs

₹ 11-12 LPA

Associate, Compliance & Control II

BNY Mellon International Operations (India)

4-10 Yrs

Pune

1d ago·via naukri.com

Accountant - STAT

Avantor Performance Materials India Private Limited

1-4 Yrs

Pune

1d ago·via naukri.com

Treasury Head

Sterlite Technologies (STL)

10-16 Yrs

₹ 20 - 30L/yr

Pune

14d ago·via naukri.com

7-12 Yrs

Hyderabad / Secunderabad, Pune

1mon ago·via naukri.com

4-9 Yrs

Bhopal, Pune, Ahmedabad

26d ago·via naukri.com

Senior Cash & Treasury Accountant

JOHN CRANE SEALING SYSTEMS INDIA PVT. LTD.

3-5 Yrs

Pune

1mon ago·via naukri.com

2-6 Yrs

Pune, Ghaziabad, New Delhi

5mon ago·via naukri.com

Storage & Backup Engineer

Experis

2-4 Yrs

₹ 4 - 9L/yr

Pune

13d ago·via naukri.com

Business Analyst (Cross-Border Payment Services)

Devendra Prasad

8-13 Yrs

Pune

17d ago·via naukri.com

Associate

Sas Partners Corporate Advisors Private Limited

0-2 Yrs

Kolkata, Mumbai, New Delhi +4 more

2mon ago·via naukri.com
How was your last interview experience?

Recently Viewed

SALARIES

RBL Bank

R O

unlock blur L/yr

(6 salaries)

COMPANY BENEFITS

Axis Bank

R O

1 benefit

JOBS

Amazon

No Jobs

SALARIES

HDFC Bank

JOBS

KONE

No Jobs

REVIEWS

iEnergizer

No Reviews

REVIEWS

iEnergizer

No Reviews

JOBS

HDFC Bank

No Jobs

REVIEWS

Sharda Cropchem

No Reviews

How was your last interview experience?
Rate your experience using AmbitionBox
Terrible
Terrible
Poor
Poor
Average
Average
Good
Good
Excellent
Excellent