Senior Manager overseeing Compliance Testing for TD Bank's regulatory compliance. Leading a team to ensure regulatory adherence and effective compliance monitoring across business units.
About the role
- Compliance & Control Associate role at BNY's Insight Investment team, handling compliance alerts and guideline management. Collaborate with senior members on various compliance-related projects.
Responsibilities
- Insight Investment is looking for a high caliber Associate (Compliance & Control) to join the Guideline Management team in Pune.
- The analyst will be responsible for the handling of Pre & Post trade alerts, Guideline coding and Guideline drafting reviews within their in-house system, Katana.
- The analyst will work closely with the senior member in Pune as well as on shore on Guideline Management functions related projects, suggest improvements to existing processes and enhance their expertise on LDI products and systems.
- Monitor post trade batch alerts daily and provide notification to front office and other business groups in a timely manner.
- Ensure all new mandates/amendments are coded into Katana within the agreed time limit.
- Work closely with the senior members of the team to ensure that coding has been accurately interpreted, and rules are correctly coded.
- Ensure client guideline queries from across the business are answered in a timely and accurate manner.
- Produce monthly and quarterly compliance attestations and ensure the attestations are produced within the required deadlines.
- Support the fund managers with ad-hoc queries related to pre-trade warnings generated by the compliance systems.
- Continuously engage with IT to evolve systems, assisting and taking the lead in Guideline related projects
Requirements
- Excellent academics with degree from a reputed institute.
- Minimum 1.5 yrs and preferably 3+ years or more of rule coding experience in systems like CRD, ThinkFolio, Sentinel etc
- Relevant experience in monitoring pre & post trade compliance alerts.
- Very good communication & analytical skills to resolve hands on problems
- Advanced knowledge of Microsoft Word, Power Point and Excel and the ability to build reports to enable the extraction and analysis of data sets
- Able to provide challenge to both existing processes and controls across the business and be proactive, self-supportive and motivated in the promotion of a positive compliance and risk culture within the firm
- Strong understanding of fixed income securities – including derivatives
- Strong ownership of role and responsibilities
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.
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