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 advantage 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, 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

📌 Associate, Compliance Pune
🏢 The Bank of New York Mellon
📍 Pune