Senior Specialist, Compliance & Control

Job Summary

We're seeking a future team member for the role of Senior Specialist, Compliance Monitoring and Surveillance to join our BNY Investments team. This role is located in Pune.

Responsibilities

• Perform surveillance testing over assigned areas and trading desks including best execution, fair allocation, cross trading, conflicts of interest, recordkeeping, short selling and conduct related matters.
• Assist in the execution of monitoring reviews to ensure they are completed in a timely manner and focused on key risks within a regulatory topic, with tests suitably designed to identify key issues.
• Support the E-comms and Voice surveillance programme across BNY Investments in the investigation of escalations which may result in policy breaches, including subsequent communications and logging.
• Ensure actions arising from surveillance tests or monitoring reviews are well defined, proportionate to the risk they seek to mitigate, and communicated in a thoughtful risk-adjusted manner appropriate for the audience; retain oversight and work with the business to ensure timely completion as designed.
• Constantly consider and, where possible, provide innovative ideas to improve the monitoring and surveillance programmes.

Requirements

• Bachelor's degree or equivalent experience; education requirement not specified in the provided context.
• Minimum of 2 years of experience in Compliance Monitoring/Surveillance or Internal Auditing in an Asset Management firm or Bank.
• Strong analytical skills with the ability to think logically, use initiative, and systematically resolve problems.
• Advanced knowledge of Microsoft Word, PowerPoint, and Excel, with the ability to build reports to support the extraction and analysis of data sets.

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.