Senior Associate Compliance And Control

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:

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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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