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Associate, Compliance & Control II at BNY
Pune, maharashtra, India -
Full Time

Start Date

Immediate

Expiry Date

12 Feb, 26

Salary

0.0

Posted On

14 Nov, 25

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

No

Skills

Compliance Surveillance, Regulatory Experience, Equity Products, Fixed Income Products, Market Abuse Regulations, Trading Knowledge, Derivatives Knowledge, FINRA Regulations, SEC Regulations, CFTC Regulations, Dodd Frank, NFA Regulations, Trade Surveillance Systems, Communication Skills, Analytical Skills, Project Management

Industry

Financial Services

Description
Graduate (Finance, Economics, or Business degree preferred) Minimum of 1.5 to 3 years of Compliance 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. Preferred experience with Trading Hub surveillance system or similar trade surveillance platforms. 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.

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Responsibilities
The Associate, Compliance & Control II will be responsible for monitoring compliance with market regulations and conducting surveillance of trading activities. The role requires interaction with front office and technology personnel to ensure adherence to regulatory standards.