Vice President Compliance And Control

Job Description

Vice President – Quality Assurance Trade Surveillance

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, 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 Vice President – Quality Assurance Trade Surveillance to join our Compliance team. This role is located in Pune.

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

The Vice President – QA Trade Surveillance has key responsibility in helping the firm manage its regulatory risk through quality assurance of trade surveillance across the various businesses and countries in which BNY conducts business. the right candidate will have familiarity with trade surveillance requirements as outlined by the U.S. Securities and Exchange Commission, FINRA, the Financial Conduct Authority and APAC regulators. Experience with multiple trade surveillance platforms and previous experience mitigating trade surveillance alerts is required.

• Improve the firms approach to Trade Surveillance by challenging alert mitigation.
• Review mitigated transaction alerts across a range of financial asset classes including FX, FI, Securities Lending & Repo, Equities and associated derivatives.
• Challenge alert mitigation where the standard of closure is not sufficient.
• Escalate findings in a controlled and organized fashion
• Ensure that the standard of trade surveillance alert mitigation is robust and consistent across the BNY enterprise.
• Prepare Management Information for the QA function to clearly identify inconsistencies in quality of alert mitigation.
• Be prepared to assist with other pillars of surveillance QA (e-communications, voice communications, Personal Securities Trading).
  
  

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

• Preferred experience: extensive industry experience with time working in Trade Surveillance, ideally with a Trading background.
• Extensive financial product & markets knowledge across multiple asset class.
• Strong knowledge of the financial services regulatory environment.
• Investigative skills and an analytical mindset are essential.
• Excellent spoken and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
• Advanced MS Office skills
• Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high level of accuracy.
• Good interpersonal and communication, and negotiation skills.
• Ability to work effectively in a fast-paced environment, with the ability to prioritize and balance competing, time sensitive demands.
• Bachelor’s Degree required (or equivalent)
  
  

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

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