Associate- Compliance & Control II Job in Chennai at BNY Mellon Technology Pvt Ltd

BNY Mellon is hiring for the role of Associate- Compliance & Control II!

Responsibilities of the Candidate:

• Conduct independent trade surveillance supervisory reviews of the alerts already closed by 1LoD.
• Support the day-to-day efforts related to assessing whether employees globally comply with relevant laws, rules, and regulations based on a review of alerts closed by 1LoD.
• Challenge 1LoD, whenever evidence or rationale of closed alerts is insufficient.
• Escalate issues to appropriate stakeholders and track through closure.
• Document the reviews and outcomes to ensure complete and accurate audit trail.

Requirements:

• The ideal candidate must possess knowledge of and rationale for trade surveillance, asset classes surveilled, and applications used for the same.
• Must have a good understanding of market abuse, types of market abuse, how to identify the same across various asset classes and use this discretion while closing the alerts.
• Should be well versed with the use of Bloomberg terminal.
• Should be aware of the Financial Services Industry, the regulatory landscape, with a specific focus on fixed income and foreign exchange surveillance in addition to equities.
• A solid understanding of investment instruments and knowledge of compliance concepts would be an advantage.
• Must have good oral and written communication skills in English. An ability to understand compliance policies and process assigned tasks per procedures would be expected.
• Bachelor’s Degree in Finance preferred.
• At least 1-3 years of trade surveillance, operations, middle office or trading experience in fixed income and currency products preferred.