Senior Analyst, Compliance & Control

Overview

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" - 97% 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.

At BNY Mellon, our inclusive culture speaks for itself. Here's a few of our awards:

• Fortune World's Most Admired Companies & Top 20 for Diversity and Inclusion
• Bloomberg's Gender Equality Index (GEI)
• Best Places to Work for Disability Inclusion , Disability: IN - 100% score
• 100 Best Workplaces for Innovators, Fast Company
• Human Rights Campaign Foundation, 100% score Corporate Equality Index
• CDP's Climate Change 'A List'

Our Benefits:

BNY Mellon 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 that can support you and your family through moments that matter.

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

Employer Description:

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.