Senior Associate, Trade Surveillance- Compliance & Control The Bank of New York Mellon Corporation

3.0 - 7.0 years

0 Lacs

pune, maharashtra

On-site

As a Senior Associate in Compliance & Control Trade Surveillance at BNY, you will play a key role in ensuring global compliance with relevant laws, rules, and regulations by analyzing surveillance alerts, providing oversight, and conducting daily analysis through trade surveillance systems. You will assist in monitoring established controls, implementing new procedures in response to regulatory changes, and identifying and escalating potential concerns related to regulatory rules such as MAR, MIFID 2, and firmwide policies. Your responsibilities will include suggesting improvements to work processes, counseling employees and business personnel on compliance, guiding lower-level peers, researching and collecting data on compliance activities, compiling data for senior team members, conducting preliminary analyses, reviewing work accuracy, verifying alignment with control procedures and compliance strategy, and recommending remedial action when issues arise. To excel in this role, you should possess a BA/BS degree in Finance, Economics, or Business, along with a minimum of 3 to 4 years of surveillance or regulatory experience. Knowledge of equity and fixed income cash and derivatives products, market abuse regulations, trading correlations, derivatives usage, hedging, FINRA, SEC, CFTC Dodd Frank, NFA, CME regulations, Treasury Market Best Practices, and trade surveillance monitoring systems is required. Strong communication, analytical, project management, Excel, data analysis, problem-solving, time management, and prioritization skills are essential, along with the ability to handle sensitive information with excellent judgment. BNY's culture is reflected in its numerous accolades, such as being recognized as America's Most Innovative Companies, World's Most Admired Companies, achieving a 100% score in the Corporate Equality Index and Best Places to Work for Disability Inclusion, and being named one of the Most Just Companies and a top-performing company for Sustainability. As an Equal Employment Opportunity/Affirmative Action Employer, BNY values diversity and encourages applications from underrepresented groups. Join us at BNY to be part of a dynamic team shaping the future of global financial services.,

Posted 3 days ago

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