Associate, Compliance & Control II (AS2)- Personal security trading- Pune
At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what is all about. Join us and be part of something extraordinary.We’re seeking a future team member for the role of
Associate, Compliance & Control II (AS2)
to join our
PST team within Compliance & Control team
. This role will be based in
Pune
.In this role, you’ll make an impact in the following ways:
- Supports the day-to-day efforts related to assessing whether employees are in compliance with relevant laws, rules, regulations and the company’s personal securities trade Policy.
- Monitors compliance with the Personal Securities Trade Policy for all employees, reviews transactions and holdings statements manually and reconciles discrepancies working with employees; reviews / reports all potential violations (Red Flags) of the policy
- 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.
- Manage and review non-approved brokers accounts. Validate the requests against the policy requirements and perform necessary assessment before approval.
- Support process improvements and automation initiatives to enhance efficiency and control within the non-approved broker workflow.
- 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.
- As an experienced team member, suggests changes to improve work processes, counsel 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.
- Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy.
- Independently prepares reports for management on the business line's compliance status and may assign report development tasks to more junior support staff.
- Reviews reports with more senior support roles to confirm accuracy and completeness and checks reporting prepared by more junior support staff.
- Counsel business personnel and management on remaining in compliance or improving their alignment with established controls and compliance goals.
To be successful in this role, we’re seeking the following:
- Bachelor’s degree in finance, Commerce, Economics, or related discipline.
- 1.5-3 years of experience in compliance, Personal Security Trading or similar function
- Exposure to Personal Account Dealing or Employee Trading Monitoring preferred.
At BNY, our culture speaks for itself, check out the latest BNY news at:BNY NewsroomBNY LinkedIn
Here’s a Few Of Our Recent Awards
- America’s Most Innovative Companies, Fortune, 2025
- World’s Most Admired Companies, Fortune 2025
- “Most Just Companies”, Just Capital and CNBC, 2025
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.
