About this role
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. Specialist, Fraud Detection/Surveillance II
We’re seeking a future team member for the role of Specialist, Fraud Detection/Surveillance II to join our Trade Surveillance team. This role is located in Pune.
In this role, you’ll make an impact in the following ways:
• Monitor client portfolios to ensure compliance with investment guidelines and regulatory requirements. • Perform post-trade compliance monitoring and reporting on a daily, monthly, and quarterly basis. • Identify and investigate active and passive compliance breaches in collaboration with investment managers and relevant stakeholders. • Support new client onboarding by interpreting investment mandates, coding portfolio restrictions, and generating exception reports. • Maintain legal and compliance-approved restricted lists and ensure timely updates in line with internal policies and regulatory requirements. • Review investment management documentation such as Investment Management Agreements, Prospectuses, and Statements of Additional Information (SAI) to support compliance rule interpretation and implementation. • Code, test, and validate investment rules within compliance monitoring systems such as Aladdin, CRD etc.
To be successful in this role, we’re seeking the following:
• Experience in portfolio compliance monitoring within the investment management industry. • Strong knowledge of investment regulations, including the Investment Advisers Act of 1940, Investment Company Act, UCITS, and MiFID. • Understanding of multiple asset classes, including Fixed Income, Equities, Derivatives, Currencies, and Money Market Instruments. • Hands-on experience with any compliance platforms such as BlackRock Aladdin, Charles River IMS (CRD), LatentZero Sentinel, or Bloomberg AIM. • Ability to interpret client mandates and translate them into system-coded investment restrictions. • Strong analytical and problem-solving skills, with excellent attention to detail. • 4+ years of total work experience • Bachelor’s degree in finance or the equivalent combination of education and experience is required. • CFA Level 1 or FRM are preferred.