Job Description
Bring your ideas. Make history.
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the "bank of banks" - +7% of the world's top banks work with us as we lead and serve our customers into the new era of digital.
With over 238 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we're approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.
We're seeking a future team member for the role of Senior Analyst to join our Compliance team. This role is in Pune/Chennai – HYBRID work mode.
Team Description:
The Compliance Surveillance 2LoD team is multifaceted in that it is 1) structured to provide independent check and challenge over the 1LoD trade, e-Communications, and voice surveillance programs; and 2) responsible for the primary review and escalation of Control room related issues resulting from transaction and/or e-communications surveillance alerts.
While the QA portion of the program is based on a partnership with the business the function must remain independent to ensure that the company and individuals within the company comply with relevant laws, regulations, market standards, and ethical norms.
Responsibilities:
In this role, you'll make an impact in the following ways:
• Conduct independent Quality Assurance (QA) over 1LoD e-communications surveillance supervisory review.
• Review of alerts from various queues that are brought under surveillance purview.
• May have to assess from time-to-time whether employees globally are in compliance with relevant laws, rules, regulations related to the appropriate usage of Material Non-Public Information (MNPI).
• Supports the day-to-day efforts related to assessing whether employees globally follow relevant laws, rules, regulations based on review of 1LoD closed surveillance alerts.
• Escalating issues within timelines to appropriate stakeholders and tracking through closure through regular follow ups.
• Documenting reviews and outcomes to ensure complete and accurate audit trail.
• Few tasks outside of e-Comms that maybe required to be performed may include but not limited to engaging in drafting policy and procedures, interpreting metrics.
• Updating all relevant trackers with accurate information regularly.
• Timely completion and submission of all data sets that maybe required from them, within timelines.
• Identify areas and suggest ideas for process efficiencies. E.g., Cost reduction / Cost avoidance and qualitative improvements.
Requirements:
To be successful in this role, we're seeking the following:
• Should have knowledge of Risk and Compliance within the Financial Services Industry, with a specific focus on e-communications surveillance.
• Solid understanding of investment instruments and a general knowledge of compliance concepts.
• Good spoken and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
• Bachelor's Degree preferred.
• 3-5 years banking, product/financial services and/or auditing or compliance experience preferred with 1+ years related to surveillance
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the "bank of banks" - +7% of the world's top banks work with us as we lead and serve our customers into the new era of digital.
With over 238 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we're approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.
We're seeking a future team member for the role of Senior Analyst to join our Compliance team. This role is in Pune/Chennai – HYBRID work mode.
Team Description:
The Compliance Surveillance 2LoD team is multifaceted in that it is 1) structured to provide independent check and challenge over the 1LoD trade, e-Communications, and voice surveillance programs; and 2) responsible for the primary review and escalation of Control room related issues resulting from transaction and/or e-communications surveillance alerts.
While the QA portion of the program is based on a partnership with the business the function must remain independent to ensure that the company and individuals within the company comply with relevant laws, regulations, market standards, and ethical norms.
Responsibilities:
In this role, you'll make an impact in the following ways:
• Conduct independent Quality Assurance (QA) over 1LoD e-communications surveillance supervisory review.
• Review of alerts from various queues that are brought under surveillance purview.
• May have to assess from time-to-time whether employees globally are in compliance with relevant laws, rules, regulations related to the appropriate usage of Material Non-Public Information (MNPI).
• Supports the day-to-day efforts related to assessing whether employees globally follow relevant laws, rules, regulations based on review of 1LoD closed surveillance alerts.
• Escalating issues within timelines to appropriate stakeholders and tracking through closure through regular follow ups.
• Documenting reviews and outcomes to ensure complete and accurate audit trail.
• Few tasks outside of e-Comms that maybe required to be performed may include but not limited to engaging in drafting policy and procedures, interpreting metrics.
• Updating all relevant trackers with accurate information regularly.
• Timely completion and submission of all data sets that maybe required from them, within timelines.
• Identify areas and suggest ideas for process efficiencies. E.g., Cost reduction / Cost avoidance and qualitative improvements.
Requirements:
To be successful in this role, we're seeking the following:
• Should have knowledge of Risk and Compliance within the Financial Services Industry, with a specific focus on e-communications surveillance.
• Solid understanding of investment instruments and a general knowledge of compliance concepts.
• Good spoken and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
• Bachelor's Degree preferred.
• 3-5 years banking, product/financial services and/or auditing or compliance experience preferred with 1+ years related to surveillance
💡 Quick Summary
Seeking a career-building opportunity? The Senior Analyst| Compliance position is now open for candidates interested in the Bank Jobs sector. This role in Pune offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.
