Associate, Compliance & Control II

BNY

Early Applicant

3 months ago
Be among the first 50 applicants

Exp: 0-3 Years

Pune, India

Job Description

Under direct supervision, contributes to the compliance efforts of the assigned business unit
Helps with assessment activities to ensure the business units are in compliance with standard regulatory and policy requirements,, reviews work for accuracy with more experienced professionals
May assist with drafting of documentation when control changes are made
Under direct supervision, analyzes existing legislation, regulatory announcements and industry practices in order to report on the assigned business current state of compliance
As needed, assists with projects and program tasks intended to improve compliance and enhance the control environment
Assists with analyses of control processes to ensure they are in compliance with all applicable laws, rules and regulations
Begins to build working relationships with business unit managers in order to facilitate the timely delivery of information and increase the likelihood of favorable conditions for compliance activities
With direct supervision, assists with the assessments of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting BNY Mellon businesses
May begin to gain experience preparing risk based reviews of existing and emerging regulatory requirements, concerning issues and control gaps
May assist with the preparation of non-complex reporting, as directed
Escalates issues to more experienced professionals
No direct reports
Contributes to the achievement of team objectives
Modified based upon local regulations / requirements
Bachelor s degree or the equivalent combination of education and experience is required
Business or Finance degree preferred
0-3 years of total work experience preferred
Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred