Lead Analyst, RegOversightMgmt

BNY Mellon
Pune, India
25 May 2022
28 May 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

Securities Finance Trade Surveillance Analyst - Pune (Grade I - Compliance & Control- Shift 6.30PM local time - 3.30AM local time to Cover US Market)

The BNYM Markets Global Surveillance Program is looking to hire a full time Surveillance analyst to monitor, investigate and escalate surveillance alerts for our Securities Finance Business . The analyst will also work alongside the team and provide feedback to help drive improvements in the surveillance and supervision framework and also help with other work and projects of the Markets Control Team.

This position is in the Supervision and Surveillance pillars of the Pune team with a specific focus on Securities Finance controls. The surveillance analyst will be based in the Company's Pune office. The candidate will play a pivotal role by providing real time support during US hours with pre-trade clearance of Charles River alerts.

The surveillance analyst will carry out initial investigation of Securities Finance trade Surveillance Alerts, gather data necessary for further investigation, close alerts where possible or seek to escalate alerts to L2 where further analysis is required. The analyst will also provide feedback on the quality of alerts to the development team that support the surveillance framework.

  • 5+ years in a compliance trade surveillance role / front office trading role / front office supervisor role.
  • [SD1] Knowledge of Securities Finance
  • Familiarity with global regulation and industry best practices aimed at mitigating market manipulation and employee misconduct.
  • Experience in Settlements /Tech Operation background can be suitable

  • Perform daily monitoring and investigation of Securities Finance trade surveillance alerts using a visualization tool.
  • Promptly escalate and communicate as appropriate, alerts that require L2 / supervisor and / or compliance review.
  • As necessary perform search of eCom and Phone data related to trade surveillance alerts.
  • Trade reconstruction.
  • Be able to collate information and provide to L2 analysts when performing surveillance investigations.
  • Maintain and monitor a database of remedial actions / recommendations arising from trade surveillance.
  • Assist in the development of a surveillance operating model by providing recommendations for escalations and workflow on an alerts basis.
  • Analyse and report on trends seen in the daily process to senior supervisors, the Surveillance Governance Committee and compliance management.
  • Actively participate in investigations into incidents arising as required.
  • In addition, the candidate will form an essential part of the guideline change review process and help to ensure that portfolio guidelines are in line with client requests.
  • Be involved in other work of the Markets Control Team related to Supervision and Surveillance
  • The candidate will need to have a strong attention to detail and be able to work US hours. The candidate will also assist with other work and projects as needed by the Markets Control team.


Employer Description:

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.
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