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Senior Associate, Regulatory Oversight Management

BNY Mellon
Pune, India
Closing date
Dec 22, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Senior Associate, Regulatory Oversight Management (Grade I) Global Asset Safety - CASS and GAS Risk and Control Team
Bring your ideas. Make history.
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the "bank of banks" - 97% of the world's top banks work with us as we lead and serve our customers into the new era of digital.
With over 238 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we're approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.
We're seeking a future team member for the role of Senior Associate, Regulatory Oversight Management to join our Global Asset Safety - CASS and GAS Risk and Control team. This role is in Pune, Maharashtra - HYBRID.
In this role, you'll make an impact in the following ways:
  • Controls - Oversees controls on custody books and records systems, and custody activity, in support of clients governed by the CASS (FCA) Rules and the CAP (NBB) Rules; whilst providing oversight of adherence to the Firm's Tier 1 asset safety policy. Primary responsibility is to perform Quality Assurance Testing & Monitoring and report on Control Assessment observations where control gaps/weaknesses have been identified that may create non-compliance.
  • Governance - Ensures that all open issues and risks relating to Client Asset Safety (CASS & GAS) Assessment are escalated appropriately to the management with tailored MI to ensure that key messages/issues are communicated correctly. Validates that all relevant BNYM policies are correctly applied.
  • Investigation - Core investigations function that aides' businesses and functional owners in determining the root cause of control gaps/breaches through access to enterprise-wide output. Provides the ability to perform holistic detective analysis for thematic problems and provides insight into improved controls.
  • Quality Assurance - Independent and consistent review of control environment ensuring that control owners are adhering to client asset safety. Assists control owners with process and procedure reviews to ensure correct application of controls.
To be successful in this role, we're seeking the following:
  • Degree Level education required.
  • Proficient in management and interpretation of complex databases.
  • Experienced in enterprise level reporting, Outlook, Word, PowerPoint, Excel, Project.
  • People Leadership requirement (Not Applicable)
At BNY Mellon, our inclusive culture speaks for itself. Here's a few of our awards:
  • Fortune World's Most Admired Companies & Top 20 for Diversity and Inclusion
  • Bloomberg's Gender Equality Index (GEI)
  • Human Rights Campaign Foundation, 100% score Corporate Equality Index
  • Best Places to Work for Disability Inclusion , Disability: IN - 100% score
  • 100 Best Workplaces for Innovators, Fast Company
  • CDP's Climate Change 'A List'
Our Benefits:
BNY Mellon 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 that can support you and your family through moments that matter.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

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:

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