Associate, Compliance & Control Representative I

BNY

3 - 8 years

8 - 9 Lacs

pune

Posted:1 day ago| Platform:

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Skills Required

front office compliance coding finance trade compliance microsoft powerpoint financial services fixed income securities

Work Mode

Work from Office

Job Type

Full Time

Job Description

The analyst will be responsible for the handling of Pre Post trade alerts, Guideline coding and Guideline drafting reviews within their in-house system, Katana. The analyst will work closely with the senior member in Pune as we'll as on shore on Guideline Management functions related projects, suggest improvements to existing processes and enhance their expertise on LDI products and systems.
Monitor post trade batch alerts daily and provide notification to front office and other business groups in a timely manner.
Ensure all new mandates/amendments are coded into Katana within the agreed time limit.
Work closely with the senior members of the team to ensure that coding has been accurately interpreted, and rules are correctly coded.
Ensure client guideline queries from across the business are answe'red in a timely and accurate manner.
Produce monthly and quarterly compliance attestations and ensure the attestations are produced within the required deadlines.
Support the fund managers with ad-hoc queries related to pre-trade warnings generated by the compliance systems.
Continuously engage with IT to evolve systems, assisting and taking the lead in Guideline related projects

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

Excellent academics with degree from a reputed institute.
Minimum 1.5 yrs and preferably 3+ years or more of rule coding experience in systems like CRD, ThinkFolio, Sentinel etc
Relevant experience in monitoring pre post trade compliance alerts.
Very good communication analytical skills to resolve hands on problems
Advanced knowledge of Microsoft Word, Power Point and Excel and the ability to build reports to enable the extraction and analysis of data sets
Able to provide challenge to both existing processes and controls across the business and be proactive, self-supportive and motivated in the promotion of a positive compliance and risk culture within the firm
Strong understanding of fixed income securities including derivatives
Strong ownership of role and responsibilities

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