Senior Associate, Compliance & Control (Grade I) – Surveillance Governance role
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 benefit 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 Senior Associate, Compliance & Control to join our Compliance Assurance – Surveillance Governance team. This role is located in Pune/Chennai – HYBRID
In this role, you'll make an impact in the following ways:
Under direct supervision, contributes to the overall governance of Compliance Surveillance
Helps with administration of an annual Surveillance Risk Assessment, which ensures the business units are in compliance with standard regulatory and policy requirements
Under direct supervision, analyzes results of risk assessment to identify gaps and opportunities for improvement
Perform Horizon Scanning applicability assessment
May assist with drafting of documentation when changes are made to policies, procedures and/or processes
As needed, assists with projects and program tasks intended to enhance Compliance Surveillance and further the team's agenda
Begins to build working relationships with business unit managers in order to facilitate the timely delivery of information and increase the likelihood of favorable conditions for compliance activities
Organizes and keeps meeting notes of recurring forums and councils
Leads fact-finding efforts with internal and external vendors relating to the capture and retention of e-Communications
May assist with the preparation of non-complex reporting, as directed
Escalates issues to more experienced professionals. No direct reports
Contributes to the achievement of team objectives
Role can offer stretch opportunities into other areas of Surveillance
To be successful in this role, we're seeking the following:
Education: minimum graduate in Finance
Preferred experience: Minimum of 5-7 years industry experience out of which minimum 2 years of Compliance, Surveillance and/or audit experience.
Should have knowledge of the Financial Services Industry, and a general knowledge of compliance concepts
Excellent spoken and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
Advanced PowerPoint and Excel skills would be an added advantage
Good analytical skills capable of identifying, collating and distilling relevant information
Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high level of accuracy.
Superior interpersonal and communication, and negotiation skills.
Ability to work effectively in a fast-paced environment, with the ability to prioritize and balance competing, time sensitive demands.
At BNY, our culture speaks for itself. Here's a few of our awards:
America's Most Innovative Companies, Fortune, 2024
World's Most Admired Companies, Fortune 2024
Human Rights Campaign Foundation, Corporate Equality Index, 100% score, 2023-2024
Best Places to Work for Disability Inclusion, Disability: IN – 100% score, 2023-2024
"Most Just Companies", Just Capital and CNBC, 2024
Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024
Bloomberg's Gender Equality Index (GEI), 2023
Our Benefits and Rewards:
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.
BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.