Senior Specialist, Compliance & Control
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 #LifeAtBNY is all about. Join us and be part of something extraordinary.
We’re seeking a future team member for the role of Senior Specialist, Compliance Monitoring and Surveillance to join our BNY Investments team. This role is located in Pune.
In this role, you’ll make an impact in the following ways:
- Perform surveillance testing over assigned areas and trading desks including best execution, fair allocation, cross trading, conflicts of interest, recordkeeping, short selling and conduct related matters.
- Assist in the execution of monitoring reviews to ensure they are completed in a timely manner and focused on key risks within a regulatory topic, with tests suitably designed to identify key issues.
- Support the E-comms and Voice surveillance programme across BNY Investments in the investigation of escalations which may result in policy breaches, including subsequent communications and logging.
- Ensure actions arising from surveillance tests or monitoring reviews are well defined, proportionate to the risk they seek to mitigate, and communicated in a thoughtful risk-adjusted manner appropriate for the audience; retain oversight and work with the business to ensure timely completion as designed.
Constantly consider and, where possible, provide innovative ideas to improve the monitoring and surveillance programmes.
-
To be successful in this role, we’re seeking the following:
- Bachelor’s degree or equivalent experience; education requirement not specified in the provided context.
- Minimum of 2 years of experience in Compliance Monitoring/Surveillance or Internal Auditing in an Asset Management firm or Bank.
- Strong analytical skills with the ability to think logically, use initiative, and systematically resolve problems.
Advanced knowledge of Microsoft Word, PowerPoint, and Excel, with the ability to build reports to support the extraction and analysis of data sets.
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.
