Specialist, Compliance & Control II at BNY Mellon

In this role, you’ll make an impact in the following ways:

• Insight Investment is looking for dynamic individual for the role of Specialist II (Compliance & Control) to join the Guideline Management team in Pune. The successful candidate will manage rule coding as well as pre- and post-trade alerts in Thinkfolio, closely communicate with Fund Managers, Traders and other investment professionals across the firm to ensure funds are within their investment guidelines. The role involves close collaboration with senior team members in Pune and London and contributing to guideline-related efforts, process improvements, and enhancing technical expertise in Think Folio.

• Monitor daily post-trade batch alerts and promptly notify the front office and relevant business units.

• Collaborate with senior team members to verify accurate interpretation and coding of rules.

• Respond to client guideline queries for post trade team accurately and efficiently.

• Produce monthly and quarterly compliance attestations within required deadlines.

• Support fund managers with ad-hoc queries related to pre-trade alerts or warnings from compliance systems.

• Engage with IT to evolve systems and lead guideline-related projects.

To be successful in this role, we’re seeking the following:

• Excellent academics with degrees from a reputed institute.

• Good communication & analytical skills to resolve hands-on problems

• Advanced proficiency in Microsoft Word, PowerPoint, and Excel, with the ability to build reports for data analysis.

• Proactive and self-motivated with a commitment to promoting a positive compliance and risk culture.

• Solid understanding of fixed income securities, including derivatives.

• Strong sense of ownership and accountability for role responsibilities.

• 4 to 6 years of post-trade monitoring and 2 to 4 years of rule coding experience is preferred, but not mandatory.

• Experience in coding & monitoring pre- and post-trade compliance using Think Folio, Sentinel, Charles River or similar OMS.