Senior Associate, Compliance & Control – Trade Surveillance – 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 and champions of inclusion, 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, Compliance & Control – I grade
to join our
Compliance Trade Surveillance
team. This role will be based in
Pune, MH - Hybrid.
In this role, you’ll make an impact in the following ways:
- Supports the day-to-day efforts related to assessing whether employees globally are in compliance with relevant laws, rules, regulations based on review of 1LoD closed surveillance alerts.
- Provide oversight for surveillance team across multiple disciplines and ensures employees are technically apt in carrying out daily responsibilities
- Conduct thorough daily analysis of automated surveillance alerts through various trade surveillance systems
- 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.
- Identify and escalate any potential concerns or risks relating to - but not limited to - regulatory rules such as MAR, MIFID 2 and firmwide policies
- As an experienced team member, suggests changes to improve work processes, counsel’s 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.
- May review the work completed by more junior support staff for accuracy and completeness.
- Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy.
- With minimal guidance, recommend remedial action if/when issues arise within the team or found within the output of work conducted by 1LoD/Primary review.
- Preferred experience with Trading Hub surveillance system or similar trade surveillance platforms.
To be successful in this role, we’re seeking the following:
- BA/BS degree (Finance, Economics, or Business degree preferred)
- Minimum of 2 to 4 years surveillance or regulatory experience.
- Knowledge of equity and fixed Income cash and derivatives (swaps, CDS, OTC options, treasuries, corporate bonds, agency securities, and financial futures) products.
- Good knowledge of market abuse regulations and potential market abuse-related scenarios
- Able to demonstrate in-depth trading/product knowledge around trading correlations, use of derivatives and hedging
- Knowledge of FINRA, SEC (including security-based swaps), CFTC Dodd Frank, and NFA/CME regulations as well as Treasury Market Best Practices.
- Working knowledge of various trade surveillance monitoring systems.
- Strong verbal and written communication skills. Ability to interact with front office and technology personnel.
- Strong analytical and project management skills.
- Strong Excel and/or data analysis skills
- Ability to think creatively to solve problems and anticipate potential questions or issues.
- Effective time management and prioritization; strong multi-tasking abilities.
- Excellent judgment in handling sensitive and confidential information.
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.
