Description
Senior Specialist, Compliance & Control
At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.
We’re seeking a future team member for the role of Senior Specialist, Compliance Monitoring and Surveillance to join our BNY Investments team. This role is located in Pune.
In this role, you’ll make an impact in the following ways:
- Perform surveillance testing over assigned areas and trading desks including best execution,



fair allocation, cross trading, conflicts of interest, recordkeeping, short selling and conduct related matters.
- Assist in the execution of monitoring reviews to ensure they are completed in a timely manner and focused on key risks within a regulatory topic, with tests suitably designed to identify key issues.
- Support the E-comms and Voice surveillance programme across BNY Investments in the investigation of escalations which may result in policy breaches, including subsequent communications and logging.
- Ensure actions arising from surveillance tests or monitoring reviews are well defined, proportionate to the risk they seek to mitigate, and communicated in a thoughtful risk-adjusted manner appropriate for the audience; retain oversight and work with the business to ensure timely completion as designed.
- Constantly consider and, where possible, provide creative ideas to improve the monitoring and sur

📌 Senior Specialist, Compliance (Pune)
🏢 BNY Mellon
📍 Pune