Associate Compliance And Control Representative I

Job Description

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 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 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 seeking an Associate (Compliance & Control) to join the Guideline Management team in Pune. The successful candidate will manage pre- and post-trade alerts in ThinkFolio, closely communicate with Fund Managers, Traders and other investment professionals across the firm to ensure funds are within their investment guidelines. The role involves close collaboration with senior team members in Pune and London and contributing to guideline-related efforts, process improvements, and enhancing technical expertise in ThinkFolio.

• Monitor daily post-trade batch alerts and promptly notify the front office and relevant business units.
• Collaborate with senior team members to verify accurate interpretation and coding of rules.
• Respond to client guideline queries for post trade team accurately and efficiently.
• Produce monthly and quarterly compliance attestations within required deadlines.
• Support fund managers with ad-hoc queries related to pre-trade warnings from compliance systems.
• Engage with IT to evolve systems and lead guideline-related projects.
  
  

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

• Strong academic background with a degree from a reputable institution.
• Excellent communication and analytical skills for problem-solving.
• Advanced proficiency in Microsoft Word, PowerPoint, and Excel, with the ability to build reports for data analysis.
• Proactive and self-motivated with a commitment to promoting a positive compliance and risk culture.
• Solid understanding of fixed income securities, including derivatives.
• Strong sense of ownership and accountability for role responsibilities.
• Minimum of 6months to 2 years of post-trade monitoring experience is preferred, but not mandatory.
• Experience in monitoring pre and post-trade compliance using ThinkFolio, Sentinel, Charles River or similar OMS.
  
  

At BNY, our culture speaks for itself, check out the latest BNY news at:

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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.

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