Associate, Compliance & Control Representative I

ASSOCIATE, COMPLIANCE & CONTROL REPRESENTATIVE I

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 #LifeAtBNY 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 REPRESENTATIVE I to join our INSIGHT INVESTMENT team. This role is located in PUNE.

In this role, you’ll make an impact in the following ways:

• Insight Investment is looking for a high caliber Associate (Compliance & Control) to join the Guideline Management team in Pune. 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 well 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 answered 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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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.