Associate, Compliance & Control Representative II

Associate, Compliance & Control Representative II

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 #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 II 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 reviewed 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 :

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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.