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Hybrid Senior Associate, Compliance & Control

at BNY
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About the role

  • Supports the day-to-day efforts related to assessing whether employees globally are in compliance with relevant laws, rules, regulations based on review of 1LoD closed surveillance alerts.
  • Provide oversight for surveillance team across multiple disciplines and ensures employees are technically apt in carrying out daily responsibilities
  • Conduct thorough daily analysis of automated surveillance alerts through various trade surveillance systems
  • Under minimal supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues.
  • Identify and escalate any potential concerns or risks relating to - but not limited to - regulatory rules such as MAR, MIFID 2 and firmwide policies.
  • As an experienced team member, suggests changes to improve work processes, counsel’s employees, and business personnel on compliance with policies and guides lower-level peers on procedures and reviews the quality of their work.
  • With minimal guidance, researches and collects data on compliance and control-related activities.
  • Compiles data into a useable format for more senior team members and may conduct basic, preliminary analyses of collected data.
  • May review the work completed by more junior support staff for accuracy and completeness.
  • Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy.
  • With minimal guidance, recommend remedial action if/when issues arise within the team or found within the output of work conducted by 1LoD/Primary review.
  • Preferred experience with Trading Hub surveillance system or similar trade surveillance platforms.

Requirements

  • BA/BS degree (Finance, Economics, or Business degree preferred)
  • Minimum of 2 to 4 years surveillance or regulatory experience.
  • Knowledge of equity and fixed Income cash and derivatives (swaps, CDS, OTC options, treasuries, corporate bonds, agency securities, and financial futures) products.
  • Good knowledge of market abuse regulations and potential market abuse-related scenarios
  • Able to demonstrate in-depth trading/product knowledge around trading correlations, use of derivatives and hedging
  • Knowledge of FINRA, SEC (including security-based swaps), CFTC Dodd Frank, and NFA/CME regulations as well as Treasury Market Best Practices.
  • Working knowledge of various trade surveillance monitoring systems.
  • Strong verbal and written communication skills. Ability to interact with front office and technology personnel.
  • Strong analytical and project management skills.
  • Strong Excel and/or data analysis skills
  • Ability to think creatively to solve problems and anticipate potential questions or issues.
  • Effective time management and prioritization; strong multi-tasking abilities.
  • Excellent judgment in handling sensitive and confidential information.

Benefits

  • 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.

Job title

Senior Associate, Compliance & Control

Job type

Full Time

Experience level

Senior

Salary

Not specified

Degree requirement

Bachelor's Degree

Location requirements

HybridPuneIndia

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