Senior Associate, Compliance & Control

Senior Associate (SNA)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 Senior Associate (SNA) to join our Core Compliance - Communication Surveillance team. This role is located in PuneIn this role, you’ll make an impact in the following ways:

• Review of Electronic communications, conduct initial analysis and identifying any irregularities or discrepancies as part of the review process and investigating and escalating activity as appropriate.
• Support the day-to-day efforts related to assessing whether employees globally are in compliance with relevant laws, rules, and regulations based on review of alerts closed by 1LoD.
• Ensuring the meet of all the Key Performance Indicators as agreed in the SLD (Quality and TAT)
• Liaising and collaborating with IT Support, L2 Compliance, Business Partners to handle raised cases and potential changes regarding surveillance software and systems.
• Bring in additional controls, if required, to improve the quality of deliverables.
• Identification of risk and communicating the same with internal management and business partners.
• Maintaining and updating process related documents on regular basis.
• Ensuring the completion of Mandatory training modules as per the agreed timelines.
• Challenge 1LoD, whenever evidence or rationale of closed alerts is insufficient.
• Escalate issues to appropriate stakeholders and track through closure.
• Document the reviews and outcomes to ensure complete and accurate audit trail.
  

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

• The ideal candidate must possess knowledge of and rationale for Compliance Surveillance (trade/e-comms), asset classes surveilled, and applications used for the same.
• Must have good understanding of market abuse, types of market abuse, insider trading, wash trading, front running, how to identify the same across various asset classes and use this discretion while closing the alerts.
• Should have an understanding about the use of Bloomberg terminal.
• Should have an understanding about Financial Services Industry, the regulatory landscape, with a specific focus on fixed income and foreign exchange surveillance in addition to equities.
• A solid understanding of capital market instruments etc and knowledge of compliance concepts.
• Must have good oral and written communication skills in English. An ability to understand compliance policies and process assigned tasks in accordance with procedures would be expected.
• Bachelor’s degree in finance, preferred.
• At least 3-5 years surveillance (trade/e- comms), operations, middle office or trading experience in fixed income and currency products 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.