Senior Associate, Trade Surveillance Pune

Senior Associate, Compliance & Control Trade Surveillance – Pune

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 – I grade to join our Compliance Trade Surveillance team. This role will be based in Pune, MH - Hybrid.

In this role, you’ll make an impact in the following ways: 

• 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.

To be successful in this role, we’re seeking the following: 

• BA/BS degree (Finance, Economics, or Business degree preferred)
• Minimum of 3 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.