Senior Associate, Compliance & Control Team Lead

BNY

3 - 5 years

4 - 9 Lacs

Pune

Posted:2 days ago| Platform:

Apply

Skills Required

Data management Bloomberg Finance trade compliance Team Leader Investment management Portfolio management Financial services Monitoring

Work Mode

Work from Office

Job Type

Full Time

Job Description

we're seeking a future team member for the role of Senior Associate, Compliance & Control Team Lead to join our team. This role is located in Pune, MH - HYBRID.

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

The Person should be moderately skilled in Compliance, Regulatory requirements like UCITS, ERISA, US 40 Act etc Review and interpret all governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses, Statement of Additional Information (SAI), and Fund Declarations. Participate in the new account setup and guideline change process. Develop and test automated rules in ALADDIN, and any associated manual monitoring needed. Review EOD portfolio compliance results, identify and resolve any active or passive compliance issues. Work with Portfolio Management, Trading, Data Management and Investment Control to determine trade suitability, review daily trading activity and identify and resolve any associated compliance issues. Proficiency in Bloomberg and other major software applications Assist Team Lead on any assigned projects & Participate in ongoing testing of web enhancements.
Problems faced by this position may be highly complex involving different financial instruments, different groups and people in different geographical locations. Review EOD portfolio compliance results, identify and resolve any active or passive compliance issues - Both post trade and pre-trade Investigate and Authorize Portfolio managers trades on a real time basis as per of pre-trade checks/alerts in ALADDIN.
The position impacts business significantly on day to day basis as every trade booked by the Portfolio manager/trader will need to be reviewe'd for alerts and authorized post review. Incorrect approvals can result in loss of client and it would breach the client s guideline agreement. Nature of impact is both financial and reputational. Also part of post trade Compliance the position is also responsible to monitor trades and make sure that they are within investment guidelines. The position revolves around core financial knowledge (CFA), critical decision making and avoiding risks. The breadth of impact of decisions taken by the person could affect the business and market reputation.

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

Bachelors degree preferably in computer science/engineering or a related discipline.
Experience in Alladin preferred.

More Jobs at BNY

Senior Associate, Fund/Client Accounting

Pune

Experience: Not specified

INR 1 - 5 Lacs

Associate, Trustee & Depositary II

Pune

2 - 9 yrs

INR 3 - 7 Lacs

Senior Vice President, Tax Reporting & Compliance Manager

Pune, Maharashtra, India

15 - 15 yrs

Salary: Not disclosed

Vice President, Anti Money Laundering/Prevention

Pune

6 - 11 yrs

INR 20 - 25 Lacs

Senior Associate, Full-Stack Engineer

Pune

2 - 6 yrs

INR 18 - 25 Lacs

Mock Interview

Practice Video Interview with JobPe AI

Start Job-Specific Interview

Start Your Job Search Today

Browse through a variety of job opportunities tailored to your skills and preferences. Filter by location, experience, salary, and more to find your perfect fit.