Senior Project Engineer managing GMP compliance projects in the Life Sciences industry. Responsible for project planning, execution and quality assurance documentation in a dynamic team environment.
About the role
- Senior Associate in Compliance & Control at BNY, focusing on global trade surveillance and regulatory compliance efforts. A pivotal role in monitoring and ensuring adherence to laws and internal standards in Pune, India.
Responsibilities
- Supports the day-to-day efforts related to assessing whether employees globally are in compliance with relevant laws, rules, regulations based on review of 1LoD closed surveillance alerts.
- Provide oversight for surveillance team across multiple disciplines and ensures employees are technically apt in carrying out daily responsibilities
- Conduct thorough daily analysis of automated surveillance alerts through various trade surveillance systems
- Under minimal supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues.
- Identify and escalate any potential concerns or risks relating to - but not limited to - regulatory rules such as MAR, MIFID 2 and firmwide policies.
- As an experienced team member, suggests changes to improve work processes, counsel’s employees, and business personnel on compliance with policies and guides lower-level peers on procedures and reviews the quality of their work.
- With minimal guidance, researches and collects data on compliance and control-related activities.
- Compiles data into a useable format for more senior team members and may conduct basic, preliminary analyses of collected data.
- May review the work completed by more junior support staff for accuracy and completeness.
- Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy.
- With minimal guidance, recommend remedial action if/when issues arise within the team or found within the output of work conducted by 1LoD/Primary review.
- Preferred experience with Trading Hub surveillance system or similar trade surveillance platforms.
Requirements
- BA/BS degree (Finance, Economics, or Business degree preferred)
- Minimum of 2 to 4 years surveillance or regulatory experience.
- Knowledge of equity and fixed Income cash and derivatives (swaps, CDS, OTC options, treasuries, corporate bonds, agency securities, and financial futures) products.
- Good knowledge of market abuse regulations and potential market abuse-related scenarios
- Able to demonstrate in-depth trading/product knowledge around trading correlations, use of derivatives and hedging
- Knowledge of FINRA, SEC (including security-based swaps), CFTC Dodd Frank, and NFA/CME regulations as well as Treasury Market Best Practices.
- Working knowledge of various trade surveillance monitoring systems.
- Strong verbal and written communication skills. Ability to interact with front office and technology personnel.
- Strong analytical and project management skills.
- Strong Excel and/or data analysis skills
- Ability to think creatively to solve problems and anticipate potential questions or issues.
- Effective time management and prioritization; strong multi-tasking abilities.
- Excellent judgment in handling sensitive and confidential information.
Benefits
- 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.
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
Bilanzbuchhalter responsible for compliance and quality standards in financial services for Germany and Bulgaria. Focused on training, internal controls, and financial reporting.
Managing Environmental Permitting Lead at Anchor QEA leading waterfront development projects. Responsible for permitting strategies and regulatory approvals in the San Francisco Bay Area and beyond.
Associate for managing relationships with clients requiring FATCA/CRS compliance. Conducting documentation review and maintaining client portfolios while supporting team processes.
Regulatory Affairs Manager handling drug approval processes and regulatory affairs. Working with authorities and ensuring compliance for a leading international pharmaceutical firm in Munich.
Compliance Analyst ensuring regulatory compliance through data analysis and monitoring for Prex, a leading LATAM financial platform.
DG
Referent in Organisationsentwicklung and Governance supporting compliance and development at Diakonie Mark - Ruhr. Involved in building internal controls and quality frameworks in a social organization.
Lead compliance and AML efforts at Onafriq, a fintech company, overseeing FCA regulations. Act as MLRO ensuring robust compliance culture while supporting UK business growth.
Vendor Compliance Analyst coordinating Oracle solutions and troubleshooting customer scorecards at Helen of Troy. Collaborating with internal teams to ensure compliance and address issues efficiently.
Product Development & Regulatory Specialist in an innovative nutricosmetic company. Supporting product innovation and regulatory compliance for collagen - based supplements in global markets.