Career Roadmap

BNY Mellon India Career Roadmap
Operations
Executive Sponsor: Nishad Pawar
Led by Anup Yadav, Vishaka Chitgopkar
May 2019
Introduction
Professional Expertise Initiative focusses on deepening functional knowledge and increasing visibility among
all business functions. As part of that vision, a comprehensive career roadmap is created that provides information
on all job roles in Operations and Asset Servicing. This interactive file allows the user to have an overview of all
processes, and visibility on career progression within each business function.
How to Navigate through the Career Roadmap
• Click on each business function in the next slide for further details
• Each business function has the below slides:
• Overview slide: provides a brief overview of the business
• Career Matrix slide: provides a holistic view of all the job codes in the business mapped across job complexity and
product/process complexity
• Growth Matrix slide: gives an example of career opportunities within the business function
• Click on any of the job codes in Career Matrix slide to know further details about that role like competencies, role summary, etc.,
2 Information Classification: Confidential

Operations Career Roadmap
Shared Services and Loan Accounting Services Investor Services Asset Servicing
& Issuer Services
Portfolio Services Fund Accounting USTA Asset Servicing
Treasury Services GIA EMEA TA Business Development
IVC,IPG, Settlements GFASS & FA TCM AIS Product Management
Reconciliations Financial Reporting Client Experience

Middle Office Operations
SDM GRS
Client Activation
Billing HedgeMark
DSD T&PM
CT & CT Analytics
Learning Pathway

Cross Functional Career Roadmap Home Page
Shared Services and Loan Accounting Services Investor Services Asset Servicing
& Issuer Services
Portfolio Services Fund Accounting USTA Asset Servicing
Treasury Services GIA EMEA TA Business Development
IVC,IPG, Settlements GFASS & FA TCM AIS Product Management
Reconciliations Financial Reporting Client Experience

Middle Office Operations
SDM GRS
Client Activation
Billing HedgeMark
DSD T&PM
CT & CT Analytics
Learning Pathway

Portfolio Services

Click here for
Learning Pathway
Portfolio Services Overview
Portfolio Services is responsible for processing the Mandatory and Voluntary Corporate Actions Events for
the clients that include accurate and timely notifications to the clients, instruction management and accurate
posting to client accounts. All the reconciliations and payments are performed predominantly using PSS
system (Portfolio Service System) and client responses on voluntary events are processed by BANCS.
Portfolio Services has presence in Manchester, Brussels, Everett, Pittsburgh, Brooklyn, Pune and Chennai. It
broadly has 4 main streams Corporate Actions, Income, Client Service and Business Technology Liaison.
Corporate Actions: This team is responsible for performing mandatory and voluntary corporate actions related custody and accounting
functions. The team notifies the clients about any corporate action event announced on their securities and processing the payments to the
clients for the related proceeds of the event. The team also processes the events for lending positions of the clients and processing of
class action suits and proxy voting function.
• Income: This team is responsible for performing Income related custody and accounting functions. The team notifying the clients about
any Income event announced on their securities and processing and allocating the dividend and interest payments to the clients for
Equity and bonds. The team also processes the income payments for lending positions of the clients.
• Client Service: This team is responsible for handling the client inquiries related to any Corporate Actions or Income events. The CSRs
directly route their queries through our Client Inquiry Portal which is being monitored and resolved by the client inquiry team.
• Business Technology Liaison: This team is performing more of a project related activities. They look after all the system
enhancements related testing that are raised by Operations group. It predominantly requires work experience around project and project
management.

Portfolio Services Career Matrix
Lead Manager,
(K-Management)
Manager,
(J-Management)
Team Lead,
(I-Support)
Lead Analyst,
Job Complexity
Lead (I- IC)

Representative,
(H- Support) Senior Analyst,
Senior Analyst, (H- IC)
Team Lead,
(H-IC) Analyst, (I-Support)
Intermediate (G-IC)
Representative, Senior Analyst,
(F-Support) (H- IC)
Representative, Analyst,
(E-Support) (G-IC)
Corporate Actions & Client Service
Legen
Income Existing Roles In India
d
Roles exists only outside India
Process/ Product Complexity

Navigation
Functional
Portfolio Treasury IVC,IPG, CT & CT Fund GFASS & FA Financial

Reconciliations SDM Billing DSD GIA
Services Services Settlements Analytics Accounting TCM Reporting
Cross
Client Business Product Client

GRS HedgeMark USTA EMEA TA AIS MOO Asset Servicing T&PM
Activation Development Management Experience

Portfolio Services Job Code Family
Job Code Job Title Job Track

70450 Lead Analyst, Corporate Actions Individual Contributor
70105 Senior Analyst, Client Service Individual Contributor
70452 Analyst, Corporate Actions Individual Contributor
70106 Analyst, Client Service Individual Contributor
70170 Senior Analyst, Business Technology Liaison Individual Contributor
70451 Senior Analyst, Corporate Actions Individual Contributor
70457 Representative, Corporate Actions Support
70454 Lead Representative, Corporate Actions Support
Intermediate Representative, Corporate
70456 Support
Actions
70453 Team Lead, Corporate Actions Support
70653 Team Lead, Client Service Support
70448 Manager, Corporate Actions Management
70447 Lead Manager, Corporate Actions Management

Growth Matrix :
Intermediate Intermediate
Representative Representative
(F-Support) (F-Support)
Income Corporate
Representative Actions
(E-Support)
Income
Intermediate Representative IntermediateRepresentative

Representative Representative(E-Support)
(E-Support) (F-Support) Corporate
(F-Support)
Income Income Corporate Actions Actions

Portfolio Services - Cross Functional Career Matrix
Instructions
Processes under Portfolio

Client Experience -Service Director
Group
USTA - Fin Control & Corp Action Services
Processes across functions

Client Experience -Custody Client with similar nature of work
Services
DSD - Corporate Actions

Click on each process for
further details
SDM - Corporate Actions

Click on “Portfolio Services” in
cross-functional Navigation to
Corporate Actions
Fund Accounting - Mutual
& Income
come back to this page
/Structured Fund Accounting &
Admin / Custody Services
IVC, IPG, Settlements
AIS - Fund Accounting
Client Service
Client Experience -Service Director

Group
Client Experience -Custody Client

Services
GIA - Client Service - GIA & Global
USTA - Client Services

Back to Career Matrix
Corporate Actions & Income- Grade E (Support Track)
Qualification Bachelor’s degree in a related discipline or the equivalent combination of education and experience is required.
1-2 years of total work experience preferred. Experience in financial services processing preferred. Applicable
Experience
local/regional licenses or certifications as required by the business.
Role Summary: Provides support in the execution of mandatory and voluntary corporate action-related custody and accounting
processing, processing liability notices, processing and allocating dividend and interest payments, and processing class action suits.
Competencies
Technical/ Functional Professional Leadership Systems
• Basics Of Accounting and Reconciliation as to • Strong verbal and • Responsible for the quality and • Proficiency in MS
how it works. written communication completion of own work Office (excel,
• Break Identification and root cause analysis skills. PowerPoint, Word)
• Understanding of basic financial instruments like • Email and Telephone
Securities, bonds ,T-Bills etc.. Etiquettes.
• Understanding standard messaging system like • Interpersonal Skills
SWIFT is essential. • Timely escalations
• Knowledge of Cash Reconciliation is essential. • Open minded and
ready for changes and
challenges.

Corporate Actions & Income- Grade F (Support Track)
2-3 years of total work experience preferred. Experience in financial services processing and corporate actions
Experience
preferred. Applicable local/regional licenses or certifications as required by the business.
Role Summary: Provides support in the execution of mandatory and voluntary corporate action-related custody and accounting
processing, processing liability notices, processing and allocating dividend and interest payments, and processing class action suits.
Competencies
• Basics Of Accounting • Strong verbal and • Responsible for the quality and • Proficiency in MS
• Break Identification and root cause analysis written communication completion of own work Office (excel,
• Understanding of basic financial instruments like skills. PowerPoint, Word)
Securities, bonds, T-Bills etc. • Email and Telephone
• Basic understanding standard messaging Etiquettes
system like SWIFT is preferred. • Interpersonal Skills
• Basis understanding of Transaction lifecycle, • Timely escalations
Corporate Actions, Income events, Payments • Open minded and
related issues etc. is added advantage. ready for changes and
challenges.

Corporate Actions & Income- Grade G (IC Track)
0-3 years of total work experience preferred. Experience in financial services or corporate actions preferred. Applicable
Experience
Role Summary: Responsible for mandatory and voluntary corporate actions custody functions for all organizational accounts. Receives
guidance from more experienced staff
Competencies
• Basics Of Accounting • Strong verbal and • Responsible for the quality and • Proficiency in MS
• Break Identification and root cause analysis written communication completion of own work; Office (excel,
• Understanding of basic financial instruments like skills supports the achievement of PowerPoint, Word)
Securities, bonds, T-Bills etc. • Email and Telephone team objectives. • Exposure to custody
• Understanding standard messaging system like Etiquettes applications.
SWIFT is essential. • Strong Analytical skills.
• Basis understanding of Transaction lifecycle, • Prioritization – Time
Types of Corporate Actions, Income events, Management, work
Payments related issues etc. is added management.
advantage. • Innovation & Problem
• Should handle BCP testing and Weekend solving.
system testing for CMS (Crisis Management • Change management
System). • Interpersonal Skills
• Timely escalations

Corporate Actions & Income- Grade H (Support Track)
Experience
Role Summary: Serves as a team supervisor/manager for the day-to-day operations of a small to medium-sized corporate actions team.
Competencies
• Basics Of Accounting • Strong verbal and • Supervises/manages a small • Proficiency in MS
• Break Identification and root cause analysis written communication team. Office (excel,
• Understanding of basic financial instruments like skills • May be responsible for specific PowerPoint, Word)
Securities, bonds, T-Bills etc. • Email and Telephone supervisory review and approval • Exposure to custody
• Understanding standard messaging system like Etiquettes actions. applications.
SWIFT is essential. • Strong Analytical skills. • Responsible for the quality and
• Basis understanding of Transaction lifecycle, • Prioritization – Time completion of own work;
Types of Corporate Actions, Income events, Management, work supports the achievement of
Payments related issues etc. is added management. team objectives.
advantage. • Innovation & Problem
solving.
• Change management
• Interpersonal Skills

Corporate Actions & Income- Grade H (IC Track)
Qualification Bachelor’s degree (Commerce preferred)Post Graduate/Masters Degree in Business is preferred.
Experience
Role Summary: The individual is responsible for performing mandatory and voluntary corporate action-related custody and accounting
processing requirements, such as dividend payments, reorganization/proxy, bond redemption, etc. Also responsible for managing and
controlling high levels of risk and liability inherent in the various functions and for reconciliation activities, client reporting and proration on
transactions.
Competencies

• Basics Of Accounting and Reconciliation as to • Strong verbal and • Queue Management, Work • Proficiency in MS
how it works. written communication Allocation, Drives Quality Office (excel,
• process analysis and time study on process. skills • Ensures Accountability - Takes PowerPoint, Word)
• Work on system migration related projects and • Email and Telephone ownership of the issues and • Exposure to custody
process enhancement related projects. Etiquettes breaks and Resolve in time. applications.
• Understanding of basic financial instruments like • Strong Analytical skills. • Leave planning, backup
Securities, bonds, T-Bills etc. • Prioritization – Time planning.
• Understanding standard messaging system like Management, work • Responsible for the quality and
SWIFT is essential. management. completion of own work;
• Innovation & Problem supports the achievement of
solving. team objectives.

Corporate Actions & Income- Grade I (Support Track)
Bachelor’s degree in a related discipline or equivalent combination of education and experience is required; Bachelor's
Qualification
degree preferred.
7+ years of technical and/or management experience preferred; experience in the securities or financial services
Experience
industry is preferred. Applicable local/regional licenses or certifications as required by the business.
Role Summary: The individual is required to serve as a team supervisor/manager for the day-to-day operations of a medium to large-
sized corporate actions team.
Competencies
• Basics Of Accounting and Reconciliation as to • Strong verbal and • Supervises a small to medium • Proficiency in MS
how it works. written communication sized corporate actions team. Office (excel,
• process analysis and time study on process. skills. • Responsible for specific PowerPoint, Word)
• Work on system migration related projects and • Strong Analytical Skills supervisory review and approval • Exposure to custody
process enhancement related projects. • Email and Telephone actions. applications.
• Understanding of basic financial instruments like Etiquettes
Securities, bonds, T-Bills etc. • Prioritization – Time
• Understanding standard messaging system like Management for
SWIFT is essential. project/task delivery.
• Innovation & Problem
solving

Corporate Actions & Income- Grade I (IC Track)
Experience
Role Summary: The individual is responsible for performing mandatory and voluntary corporate action-related custody and accounting
processing requirements, such as dividend payments, reorganization/proxy, bond redemption, etc. Also responsible for managing and
controlling high levels of risk and liability inherent in the various functions and for reconciliation activities, client reporting and proration on
transactions.
Competencies
• Basics Of Accounting and Reconciliation as to • Strong verbal and • No direct reports but may • Proficiency in MS
how it works. written communication provide guidance to less Office (excel,
• process analysis and time study on process. skills. experienced team members. PowerPoint, Word)
• Work on system migration related projects and • Strong Analytical Skills May have people management • Exposure to custody
process enhancement related projects. • Email and Telephone responsibilities in some applications.
• Understanding of basic financial instruments like Etiquettes geographies.
Securities, bonds, T-Bills etc. • Prioritization – Time
• Understanding standard messaging system like Management for
SWIFT is essential. project/task delivery.
solving

Corporate Actions & Income- Grade J (Management)
Bachelor’s degree or the equivalent combination of education and experience is required. Advanced/post graduate
Qualification
degree preferred.
4-5 years of total work experience with at least 0-1 years in management preferred. Experience in brokerage
Experience
processing is preferred. Applicable local/regional licenses or certifications as required by the business.
Role Summary: The individual is required to manage a small Corporate Actions team responsible for providing corporate action-related
custody and accounting processing.
Competencies
• Basics Of Accounting and Reconciliation as to • Strong verbal and • Manages multiple small teams. • Proficiency in MS
how it works. written communication • Responsible for achievement of Office (excel,
• Escalation handling and timely escalation. skills. team goals. Ensures team is PowerPoint, Word)
• Work on conversion and migration related • Email and Telephone equipped to operationalize and • Exposure to custody
projects. Etiquettes. attain team objectives. Manage applications.
• Understanding of basic financial instruments like • Interpersonal Skills the human resources of the
Securities, bonds, T-Bills etc. • Timely escalations team, including coaching,
• Understanding standard messaging system like • Prioritization. performance management and
SWIFT is essential. • Strong Analytical skills career development. May
• Basis understanding of Transaction lifecycle, required. manage financial resources of
Types of Corporate Actions, Income events, • Time and Resource the team (budgets, expenses,
Payments related issues etc. is added management. etc.).
advantage. • Experience in
• Experience around Audit presentations is performance
essential. Effectively handle audit requests and management process is
provide required data accurately and timely. essential.
• Effectively needs to handle escalations and take
preventive majors so that issue will not occur
again.

Corporate Actions & Income- Grade K (Management)
Bachelor’s degree or the equivalent combination of education and experience is required. Advanced/post graduate
Qualification
degree preferred.
5-7 years of total work experience with at least 2-4 years in management preferred. Experience in financial services or
Experience
corporate actions preferred. Applicable local/regional licenses or certifications as required by the business.
Role Summary: The individual is required to manage a medium to large Corporate Actions/Income team responsible for providing
corporate action-related custody and accounting processing.
Competencies
• Basics Of Accounting and • Strong verbal and written • Manages a medium to large-sized • Proficiency in MS
Reconciliation as to how it works. communication team or multiple small teams Office (excel and
• Escalation handling and timely • Analytical skills responsible for conducting Custody power point in
escalation. • Decision making services on behalf of assigned particular)
• Work on conversion and • Team management - conflict clients. • Exposure to Custody
migration related projects. management. • Manages relationships with Platforms
• Understanding of basic financial • Change management assigned clients and resolves any (CMS/GSP/IMMS/PSS
instruments like Securities, • Digital Savvy escalated issues related to fund )
bonds, T-Bills etc. • Stakeholder management calculations and accounting. • Workbench
• Understanding standard • Interpersonal skills - collaboration • Directs and sets priorities for • Exposure to
messaging system like SWIFT is • Timeliness and Accuracy processes that check for the reconciliation
essential. • Ensure accurate and timely update completeness and accuracy of Platforms (such as
• Experience around Audit and reporting of management custody Services. TLM)- preferred
presentations is essential. reports • Provides guidance to teams • Exposure to Research
Effectively handle audit requests • Timely escalation and reporting of managed to ensure that corporate Databases (such as
and provide required data client impacts - errors, Events, action records are maintained in Bloomberg or IDC)
accurately and timely. missed deliverables and revisions accordance with departmental • CI tool
• Effectively needs to handle • Write Health Checks and manage policies and procedures.
escalations and take preventive ORE process for Near Misses and • Resolves escalated issues from
majors so that issue will not occur or related losses. Identify team members.
again. Strategy / Control changes / • Provides guidance to teams on
Implement across Teams with implementation of new policies to
peers follow regulations.

Corporate Actions & Income- Grade K (Management)

• Transparency - Timely reporting of ORE - • Recruits, directs, motivates and
Near Misses - Daily Heath Checks develops staff, maximizing their
including all client impacts. Resolution individual contribution, their
Plan with owners and target dates. professional growth and their
• Implement control changes across teams ability to function effectively with
• Huddle boards -Identify continuous their colleagues as a team.
Improvement Ideas - using PE tools to • Identifies and implements process
solve Business Problems - Review results improvements to improve the
from Huddles to enhance business model experience for all stakeholders
- PE tools - fishbone - 5 ways and pared • Liaises with peer leaders on
charts - Huddle board roaming (go to other product, technology and client
huddle board to share idea and learn how service teams to ensure
other teams are managing PE heddles) appropriate integration of activities
• Measuring Client satisfaction through and required hand-offs
inquiry management, Participation in
Client meetings, RFPS, service reviews -
Organization of needed documents for
client meetings.
• Internal and External Audit Coordinator -
govern / Develop Audit prep and end to
end management - - Ensure accurate and
timely review of requests and auditor
interaction
• Promote and Educate Risk culture and
transparency - Timely escalation and
reporting of client impacts - errors, Events,
missed deliverables and revisions

Client Services- Grade G (IC Track)
Qualification Bachelor’s degree or the equivalent combination of education and experience is required.
Experience 0-3 years of total work experience preferred. Experience in an operational area and/or client services preferred.
Role Summary: The individual is responsible to work with external clients to resolve day-to-day issues and direct them to appropriate
resources at BNY Mellon.
Competencies
• Basics Of Accounting • Strong verbal and written • Responsible for the quality and • Proficiency in MS Office
• Break Identification and root cause communication skills completion of own work; supports the (excel, PowerPoint,
analysis • Email and Telephone Etiquettes achievement of team objectives. Word)
• Understanding of basic financial • Strong Analytical skills. • Exposure to custody
instruments like Securities, bonds, • Prioritization – Time Management, applications.
T-Bills etc. work management.
• Understanding standard • Innovation & Problem solving.
messaging system like SWIFT is • Change management
essential. • Interpersonal Skills
• Basis understanding of Transaction • Timely escalations
lifecycle, Types of Corporate
Actions, Income events, Payments
related issues etc. is added
advantage.
• Should handle BCP testing and
Weekend system testing for CMS
(Crisis Management System).

Client Services- Grade H (IC Track)
Role Summary: The individual is responsible for working with external clients to resolve moderately complex day-to-day issues and
direct them to appropriate resources at BNY Mellon.
Competencies
• Basics Of Accounting and • Strong verbal and written • Queue Management, Work • Proficiency in MS
Reconciliation as to how it works. communication skills Allocation, Drives Quality Office (excel,
• process analysis and time study • Email and Telephone Etiquettes • Ensures Accountability - Takes PowerPoint, Word)
on process. • Strong Analytical skills. ownership of the issues and breaks • Exposure to custody
• Work on system migration related • Prioritization – Time Management, and Resolve in time. applications.
projects and process work management. • Leave planning, backup planning.
enhancement related projects. • Innovation & Problem solving. • Responsible for the quality and
• Understanding of basic financial • Change management completion of own work; supports
instruments like Securities, • Interpersonal Skills the achievement of team objectives.
bonds, T-Bills etc. • Timely escalations
• Understanding standard
messaging system like SWIFT is
essential.

Client Services- Grade I (Support Track)
Experience 7-10 years of total work experience preferred. Experience in financial services preferred.
Role Summary: The individual is required to provide work direction for the team and may serve as team supervisor for day-to-day
operations. Serves as the technical expert for the most complex transactions and processes on a daily basis.
Competencies
• Basics Of Accounting and • Strong verbal and written • Supervises a small to medium sized • Proficiency in MS
Reconciliation as to how it works. communication skills. corporate actions team. Office (excel,
• process analysis and time study • Strong Analytical Skills • Responsible for specific supervisory PowerPoint, Word)
on process. • Email and Telephone Etiquettes review and approval actions. • Exposure to custody
• Work on system migration related • Prioritization – Time Management applications.
projects and process for project/task delivery.
enhancement related projects. • Innovation & Problem solving
• Understanding of basic financial • Change management
instruments like Securities, • Interpersonal Skills
bonds, T-Bills etc. • Timely escalations
• Understanding standard
messaging system like SWIFT is
essential.

Treasury Services

Click here for
Learning Pathway
Cash Operations-Business Overview
Cash Operations is responsible for processing all payments and receipts instructed by clients of the various business lines,
investigating cash related open breaks and resolving them, managing Cash for various Nostros held with sub custodians across
various locations.
• Cash Processing: Cash Processing team is responsible for processing all payments and receipts instructed by Custody &
Treasury clients. Instruction are received in the form of FAX & Swift and team is responsible to ensure all instruction are
processed as per the published deadlines.
• Cash Reconciliation: The reconciliation is predominantly performed between various Sub Custodians vs BNYM Books and
Records. All open breaks assigned to our department in TLM are investigated and resolved by contacting relevant groups
within the bank and necessary action are taken based on updates received.
• Cash Management: This Team is responsible for managing Cash for various Nostros held with sub custodians across
various locations. Team work closely with the trading desk to ensure sufficient funding is available on the Nostro for timely
execution of payments and to process Money market deals instructed by the trading desk.

Lockbox Management-Business Overview
Treasury Services Operations (Pune) provide the following Principal services, under remittance processing, to the
Pittsburgh, Dallas, Chicago, Los Angeles and Philadelphia sites.
• Retail Lockbox - Processes consumer-to-business, low dollar, high volume payments. Pune team is to key check amounts
from Image “snippets” in two “keying queues” for the BNY Mellon Global Cash Management Retail Lockbox Network using
the Web DCM application through Internet Explorer. The two keying queues are known as “CCA” and “CC2.”
• Wholesale Lockbox - Processes high-dollar, low-volume Invoice payments using IntegraPay Application into BNY Mellon
demand deposit accounts as per the cut-off timing.
• E-Master- Transactions handled outside of the typical high-speed check processing environment, including: check-only
payments (i.e., payments without an accompanying payment coupon), returned checks, multiples (i.e., payments that include
a single check for multiple payment coupons), address change notifications, etc.
• Input Express & Banking Transaction Services – Processes check images including cancelled/Reject checks images and
updating information like name, address, account number, telephone number, date and expense code.
• Remittance Processing: Team handles processing of incoming checks serviced by BNY Mellon Asset Servicing. These
checks received are entered into the J&B software and sends files nightly to the bank through mainframe system. Besides
this, team also capture all Cash & Cash Equivalents received by BNY Mellon Asset Servicing under the US Patriot Act for the
detection and prevention of money laundering. The AML Team will report any Cash & Cash Equivalents to Regulatory
Operations. AML review is performed where processor verifies the check is AML or not by identifying the type of cash
equivalent i.e. third party checks, money order, etc.

Treasury Services Career Matrix
Lead Manager,
(K-Management)
Manager, Manager,
(J-Management) (J-Management)
Team Lead, Lead
Job Complexity
(I-Management) Representative,
(H-Support)
Lead
Analyst,
Representative,
(G-Support)
(H-Support)
Representative, Representative,
(E-Support) (E-Support)
Clerk,
(B-Support) Cash Operations
Existing Roles In India
Lege
Lockbox Management
nd

Navigation
Functional

Cross


Cash Ops Job Code Family
Analyst (Cash Processing/Management/

70606/70422/70665 Support
Investigation)
Representative, (Cash Processing/Management/
70611/70427/70571 Support
Investigation)
Intermediate Representative (Cash
70570/70426/70610 Support
Processing/Management/ Investigation)
Lead Representative (Cash
70608/70424/70568 Support
Processing/Management/ Investigation)
70602 Manager (Client Processing) Management
70601 Lead Manager(Client Processing) Management

Growth Matrix : Cash Ops
Money Transfer Cash
Processing Investigation
Cash
Money Transfer Investigation
Processing

Treasury Services - Cross Functional Career Matrix
Instructions
Processes under Treasury

Payments CT & CT Analytics -NA Ops Services

IVC, IPG, Settlements with similar nature of work
Portfolio Services
further details
Billing - Payments
Click on “Treasury Services ” in
Cash Operations come back to this page
EMEA TA - Accounting & Reporting
USTA - Sub Accounting
Lockbox
Management
Trade Capture - IVC/IPG
GIA Support

Lockbox Management Job Code Family

Clerk, (Retail Lockbox / Emaster / Wholesale
70648 Support
Lockbox / Check Processing)
Representative (Retail Lockbox / Emaster /
70538 Wholesale Lockbox / Check Processing/ Support
Remittance Processing)
Intermediate Representative ((Retail Lockbox /
70537 Emaster / Wholesale Lockbox / Check Processing/ Support
Remittance Processing)
Senior Representative (Retail Lockbox / Emaster /
70536 Support
Wholesale Lockbox)
70535 Lead Representative (Remittance Processing) Support
Team Lead (Retail Lockbox / Emaster / Wholesale
70534 Management
Lockbox)
Manager (Retail Lockbox / Emaster / Wholesale
70530 Management
Lockbox)

Growth Matrix : Lockbox Management
Check Remittance
Processing processing
Remittance
Check Processing
Processing

Cash Operations - Grade E (Support track)
Qualification Bachelor’s degree (Commerce preferred)
Experience 1-2 years of total work experience preferred; experience in banking operations preferred.
Role Summary: The individual is responsible for processing / investigations/ Cash Management. The role exists to ensure that all
assigned functions are performed within daily and intra-day deadlines, adhering to all relevant procedures and controls, thus minimizing
risks and potential impact to the organization. Basic understanding of the risks and controls associated with any activity they perform in
the respective function.
Competencies

• Understanding of basic financial instruments like • Good verbal and written • NA • Proficiency in MS
Cash transfers, FX, TPFX & Time Deposits. communication skills. Office (excel,
• Understanding standard messaging system like • Email and Telephone PowerPoint, Word.
SWIFT is essential. Etiquettes. • Exposure to Cash &
• Conceptually clear around the Cash & • Interpersonal Skills Reconciliation
Reconciliation. platform.
• Break Identification and root cause analysis
• Process swift/Manual instruction as per the
published deadlines. Performs daily
reconciliations, identification of basic exceptions
between systems, clients, institutions for cash.

Cash Operations - Grade F (Support track)
Qualification Bachelor’s degree (Commerce preferred)Post Graduate in Finance is preferred..
Experience 3-4 years of total work experience preferred; experience in banking & financial Services industry preferred.
Role Summary: The individual is responsible for quality checks and query resolution in the process. This role exists to ensure that all
risks and potential impact to the organization. The individual must understand the risks and controls associated with any with any activity
they perform in the respective function.
Competencies
• Knowledge on Swift messages. • Strong verbal and • Developing Partnerships • Proficiency in MS
• Awareness on clearing houses in various written communication • Act with urgency Office (excel,
regions. skills. PowerPoint, Word)
• Should have an understanding of life cycle of • Email and Telephone • Exposure to Cash &
trade Etiquettes Reconciliation platform
• Should have an understanding of various market • Analysis Skills
regulations and its impacts. • Prioritization – Time
• Break Identification and root cause analysis Management.
• Competent in gauging the issue/impact, • Innovation & Problem
elevating it as appropriate solving.
• Attention to Detail • Interpersonal Skills

Cash Operations- Grade G (Support track)
Qualification Bachelor’s degree (Commerce preferred) Post Graduate in Finance is preferred.
4-6 years of total work experience preferred; experience in banking & financial Services industry preferred. Team
Experience
Handling experience is added advantage.
Role Summary: The individual is responsible for quality checks and query resolution in the process. He/she should handle all client
escalations, system issues. Work allocations should be performed to ensure all the deadlines are met. The individual must understand
the risks and controls associated with any process they perform and ensure all the daily BAU activities are completed by the team and
perform EOD checks.
Competencies
• Payment product knowledge. • Strong verbal and written • Competency skills like Work • Proficiency in MS
• End to End knowledge on Payment life cycle. communication skills allocation, Leave planning, Office (excel,
• Should possess good accounting knowledge • Email and Telephone backup planning & capacity PowerPoint, Word)
• Should have good understanding of swift Etiquettes planning etc. • Exposure to Cash
messages and different forms of swifts • Analytical skills are • Ensures Accountability - Takes Applications like EPH,
• Should have an understanding of various essential to find out ways ownership of the client issues. EMH, IMMS, TLM,
market regulations and its impacts. for process improvements. • Drives Results. PRPC will be added
• Should possess end to end knowledge of the • Prioritization – Time • Developing Partnerships advantage.
Cash Operations Business Management, work
• Participate BCP testing and Weekend system management. •
testing for CMS (Crisis Management System). • Innovation & Problem
• Attention to Detail solving.
• Prepare MIS Reports and
circulate across
management team.

Cash Operations- Grade H (Support track)
Qualification Bachelor’s degree (Commerce preferred) Post Graduate in Finance is preferred..
6-8 years of total work experience preferred; experience in banking & financial Services industry preferred.
Experience
Min. 2 years of People Management experience.
Role Summary: The individual is required to manage day-to-day activities, ensure quality and accuracy for all the Cash teams is
maintain at a high standard. Ensure that all SLA/SLD as agreed with key operations areas. MIS reporting & resource management
(Training, development & performance management, retention, recognition, etc.). Mentor, Groom and motivate staff so that the best
outcome can be derived. Take regular 1o1 to understand process and people problem within function and address them effectively. Keep
close watch on customer voice to understand where business is standing and how it can be improved on performance and deliverables
Competencies
• Awareness on clearing houses in various • Strong verbal and written • People management skill. - • Proficiency in MS
regions & Payment product knowledge. communication skills. Work allocation, Leave planning, Office (excel,
• End to End knowledge on Payment life cycle. • Email and Telephone backup planning, conflicts PowerPoint, Word)
• Attention to Detail Etiquettes management & capacity • Exposure to Cash
• Should possess good accounting knowledge • Interpersonal Skills planning etc. Applications like EPH,
• Good understanding of RCSA • Timely Prioritization of • Ensures Accountability - Takes EMH, IMMS, TLM,
• Should have good understanding of swift process enhancements. ownership of the funds PRPC will be added
messages and different forms of swifts • Presentation skills are • Drives Results advantage
• Should have an understanding of various essential. • Builds Effective Teams
market regulations and its impacts. • Strong Analytical skills
• Should possess end to end knowledge of the required.
Cash Operations Business as a whole • Timely escalations &
• Work on system migration related projects elevation.
and process enhancement related projects. • Effective Change
Management

Cash Operations- Grade J (PM track)
8-10 years of total work experience preferred; experience in banking & financial Services industry preferred.
Experience
Min 3-4 years experience of people management is essential.
maintain at a high standard. Ensure that all SLA/SLD as agreed with key operations areas are adhered. Oversees implementation of new
projects, transitions and transformation are successfully executed. Oversee process trending around exception management, error
management, maintain related documents and provide process related enhancement to consistently make process better. Ensure
completion of all critical daily controls and compliance with regulatory requirements, corporate & departmental policies
and procedures. Regularly liaise with the Onshore team and Sr. Managers ensuring the client service is at its best. MIS reporting to
enhance the management planning & decision making. Oversee all aspects of resource management (selection, training & development,
performance management, retention, recognition, etc.). Mentor, Groom and motivate staff so that the best outcome can be derived. Take
regular skip level meetings to understand process and people problem within function and address them effectively. Keep close watch on
customer voice to understand where business is standing and how it can be improved on performance and deliverables.
Competencies
• Custody & Accounting workflow. • Strong verbal and written • People management skill. - • Proficiency in MS
• Escalation handling and timely elevation. communication skills. Conflicts management & Office (excel,
• Participate in conversion and migration related • Digital Savvy capacity planning etc. PowerPoint,
projects. • Interpersonal Skills • Ensures Accountability - Word)
• Well versed with industry system like SWIFT is • Strong Analytical skills Takes ownership of the • Presentation
essential. required. function Skills
• Payment product knowledge & various market • Time and Resource • Drives corporate/Business • Exposure to Cash
regulations and its impacts. management. goals & strategize to achieve Applications like
• Effectively handle audit requests and provide • Experience in performance it EPH, EMH,
required data accurately and timely. management process. • Developing Partnerships IMMS, TLM,
• Deep drive analysis for Errors & come up with the • Project Management Skills • Interviewing Skills, Strong in PRPC will be
viable solution • Effective Change Stakeholders Management & added advantage
• Seek out methods for minimizing financial risk to Management. Engagement
the function.
• Write health checks & Manager ORE process for
near misses & or related losses.

Cash Operations - Grade K (PM track)
11-13 years of total work experience preferred; experience in banking operations preferred.
Experience
Out of that 6-8 years experience of Team Handling is essential.
Competencies
• Understanding of general finance and budgeting, • Excellent verbal and written • People management skill - • Proficiency in MS
including profit and loss, balance sheet and cash- communication skills. Stakeholders Management & Office (excel,
flow management. • Interpersonal & Presentation Engagement. Client PowerPoint,
• Escalation handling and timely escalation. Skills Management, Conflict Word)
• Well versed with industry system like SWIFT is • Strong Analytical skills management • Knowledge about
essential. required. • Ensures Accountability - financial industry
• Conducting reviews and evaluations for cost- • Experience in performance Takes ownership of the system – Swift,
reduction opportunities management process function TLM, Fircosoft,
• Product knowledge for various financial instrument • Project Management Skills • Set Goals for the functions & Bloomberg will be
from the industry perspective. Good understanding • Digital Savvy drives for results added advantage.
of regulations and its impacts across geography. • Ability to build consensus and
• Experience around Audit preparations followed by relationships among
effectively handling requests & provide required managers, partners, and
data accurately and timely. employees.

Lockbox Management- Grade B (Support track)
Qualification Bachelor’s degree (Any)
Experience Fresher's preferred with typing speed above 30 wpm
Role Summary: The individual is responsible for processing of the cheques into the systems. The role exists to ensure that all assigned
functions are performed within daily and intra-day deadlines, adhering to all relevant procedures and controls, thus minimizing risks and
potential losses to the organization.
Competencies
• Not required • Decent communication skills • Not required • Proficiency in MS
required for the job Office (Excel,
PowerPoint, Word).

Lockbox Management- Grade E (Support track)
Role Summary: The individual is responsible for processing of the cheques into the systems. The role exists to ensure that all assigned
functions are performed within daily and intra-day deadlines, adhering to all relevant procedures and controls, thus minimizing risks and
potential losses to the organization.
Competencies
• Not required • Strong verbal and written • Not required • Proficiency in MS
communication skills. Office (excel,
• Email and Telephone PowerPoint, Word).
Etiquettes.
• Timely escalations.

Lockbox Management- Grade E (Support track)
Role Summary: The individual is responsible for allocation of work, ensuring deadlines are met and query resolution in the process. This
role exists to ensure that all assigned functions are performed within daily and intra-day deadlines, adhering to all relevant procedures
and controls, thus minimizing risks and potential losses to the organization. The individual must understand the risks and controls
associated with any process they perform.
Competencies
• Decent computer understanding with good typing • Strong verbal and written • Not required • Proficiency in MS
Speed. communication skills. Office (Excel,
• Attention to detail • Email and Telephone PowerPoint, Word).
Etiquettes.

Lockbox Management- Grade F (Support track)
Qualification Bachelor’s degree (Commerce preferred) is preferred..
2-3 years of total work experience preferred; experience in banking operations preferred along with mutual fund
Experience
knowledge.
Role Summary: The individual is responsible for quality checks and query resolution in the process. This role exists to ensure that all
risks and potential losses to the organization. The individual must understand the risks and controls associated with any process they
perform.
Competencies
• Basic understating of Mutual Fund. • Strong verbal and written • People management skill. • Proficiency in MS
• Attention to detail communication skills. • Work allocation, Leave Office (Excel,
• Email and Telephone planning, backup planning PowerPoint, Word)
Etiquettes.
• Prioritization – Time
Management

Lockbox Management- Grade F (Support track)
Role Summary: The individual is required to manage day-to-day activities, ensure volumes are processed as per deadlines, quality and
accuracy for the process is maintain at a high standard. Ensure that all SLA/SLD as agreed with key operations areas. MIS reporting &
resource management (Training, development & performance management, retention, recognition, etc.). Mentor, Groom and motivate
staff so that the best outcome can be derived. Take regular 1o1 to understand process and people problem within function and address
them effectively. Keep close watch on customer voice to understand where business is standing and how it can be improved on
performance and deliverables.
Competencies
• Should have knowledge of overseeing workflow of • Strong verbal and written • People management skill. • Proficiency in MS
a small work area. communication skills. • Work allocation, Leave Office (Excel,
• Email and Telephone planning, backup planning PowerPoint, Word)
Etiquettes.
Management
• Timely escalations,
Flexibility, Accountability &
Responsibility

Lockbox Management - Grade H (Support track)
4-6 years of total work experience preferred; experience in banking operations preferred. along with mutual fund
Experience
knowledge.
Role Summary: The individual is required to manage day-to-day activities, ensure volumes are processed as per deadlines, quality and
accuracy for the process is maintain at a high standard. Ensure that all SLA/SLD as agreed with key operations areas. MIS reporting &
resource management (Training, development & performance management, retention, recognition, etc.). Mentor, Groom and motivate
staff so that the best outcome can be derived. Take regular 1o1 to understand process and people problem within function and address
them effectively. Keep close watch on customer voice to understand where business is standing and how it can be improved on
performance and deliverables.
Competencies
• Basic understating of Mutual Fund. • Strong verbal and written • People management skill. - • Proficiency in MS
• Should have knowledge of overseeing workflow of communication skills. Work allocation, Leave Office (Excel,
a large work area. • Email and Telephone planning, backup planning, PowerPoint, Word)
Etiquettes. conflicts management &
• Interpersonal Skills capacity planning etc.
• Prioritization – Time • Ensures Accountability -
Management Takes ownership of the
• Timely escalations, function
Flexibility, Accountability & • Drives Results
Responsibility • Builds Effective Teams
• Developing Partnerships,
• Interviewing Skills, Strong
in Stakeholders
Management &
Engagement

Lockbox Management - Grade I (PM track)
Role Summary: The individual is required to manage day-to-day activities, ensure quality and accuracy for all the Lockbox teams to
Competencies
• Escalation handling and timely escalation. • Strong verbal and written • People management skill. - • Proficiency in MS
• Experience around Audit, presentations is communication skills. Work allocation, Leave Office (Excel,
essential. Effectively handle audit requests and • Interpersonal Skills planning, backup planning, PowerPoint, Word)
provide required data accurately and timely. • Timely escalations conflicts management & • Presentation Skills
• Effectively needs to handle escalations and take • Prioritization. capacity planning etc.
preventive majors so that issue will not occur • Strong Analytical skills • Ensures Accountability &
again. required. delivers as expected
• Time and Resource • Drives Results
management. • Builds Effective Teams
• Experience in performance • Developing Partnerships,
management process is • Interviewing Skills, Strong
essential. in Stakeholders
• Project Management Skills Management &
Engagement

Lockbox Management- Grade J (PM track)
Role Summary: The individual is required to manage day-to-day activities, ensure quality and accuracy for all the Lockbox teams to
Competencies
• Escalation handling and timely elevation. • Strong verbal and written • People management skill. - • Proficiency in MS
• Experience around Audit, presentations is communication skills. Work allocation, Leave Office (Excel,
essential. Effectively handle audit requests and • Interpersonal Skills planning, backup planning, PowerPoint, Word)
provide required data accurately and timely. • Digital Savvy conflicts management &
• Effectively needs to handle escalations and take • Prioritization. capacity planning etc.
preventive majors so that issue will not occur • Strong Analytical skills • Ensures Accountability -
again. required. Takes ownership of the
• Seek out methods for minimizing financial risk to • Time and Resource overall function
the function. management. • Drives Results
• Write health checks & Manager ORE process for • Experience in performance • Builds Effective Teams
near misses & or related losses. management process is • Developing Partnerships,
essential. • Interviewing Skills, Strong
• Project Management Skills in Stakeholders
Management &
Engagement

IVC, IPG & Settlements

Click here for
Learning Pathway
Trade Capture – Process Overview
IVC:
The IVC teams are responsible for the verification (authentication) of instructions sent in by both internal servicing groups and
external clients. The verification process may include checking signatures, checking authority levels and performing any
necessary callback checks. Furthermore, IVC is responsible for the accurate routing of these instructions to the appropriate
processing groups. These processes must be completed within IVC’s service level agreements of 1 hour, however some
instructions should be prioritized and turned around more quickly. IVC primarily deal with Cash, FX, Corporate Actions,
Derivatives and Trade instructions. The routing and verification of these instructions will vary depending on the
instruction type.
IPG/CIBC:
To ensure receipt of a client securities instruction, process and release it for settlement; accurately and efficiently with set
quality standards, whilst continuously looking to improve services rendered to our clients.
IPG is responsible for processing trade instructions received via the following methods and ensuring the trade is settled via
follow up:
• SWIFT/ICO – System trades which fail STP and these instructions are repaired by IPG
• DTE/WebSTP – Instructions received by Fax, which are entered into the system by IPG
• Cash instructions/Vouchers – make cash entries
Settlements:
These are various participants or omnibus accounts maintain at DTC by BNYM. All type of trades i.e. Receive Free, Receive
Vs Payment, Deliver Free and Delivery Vs Payment type of trades are processed in these queues.
It also includes settlement of Stock loans, Repurchase orders-REPO’s, Reclaim’s, Security Purchase Order-SPO’s,
knockdowns.
Trades are delivered on RAD by various brokers, which are settled on ASP with matching instructions. At End of Day the DTC
and ASP figures are balanced.

Trade Capture (IPG | IVC | CIBC | Settlements) Career Matrix
Operation
Manager
Lead Manager Operation Operation (K) – PM role
(K) – PM role Manager Manager
(K) – PM role (K) – PM role Assistant
Manager
Manager Assistant Assistant (J) – PM role
(J) – PM role Manager Manager
(J) – PM role (J) – PM role
Team Leader
(H) - Support
Job Complexity
Lead Sr. Represen

Representative Team Leader Team Leader
(H) - Support Sr. (H) - Support -tative
(H) - Support Sr. (G) - IC
Representative Sr. Analyst
Representative
Sr. (G) - IC (G) - Support
(G) - IC
Representative Sr. Analyst Sr. Analyst
(G) - Support (G) - Support (G) - Support
Analyst
Inter. (F) - Support
Representative Analyst Analyst
(F) - Support (F) - Support (F) - Support
Operations
Executive
Representative Operations Operations (E) - Support
(E) - Support Executive Executive
(E) - Support (E) - Support
Settlements
IPG CIBC IVC
Legend Existing Roles In India

Navigation
Functional

Cross


Job Code Family:
70611 Representative, Client Processing Support
70610 Intermediate Representative, Client Processing Support
70609 Senior Representative, Client Processing Support
70606 Senior Representative, Client Processing Individual Contributor
70608 Lead Representative, Client Processing Support
70607 Team Lead, Client Processing Support
70602 Manager, Client Processing Management
70601 Lead Manager, Client Processing Management
70600 Group Manager, Client Processing Management

Growth Matrix :
Intermediate
IJP
Representative,
Intermediate
(F-Support)
Representative,
IVC/CIBC/
(F-Support)
SETTLEMENTS
CIBC
Representative,
IVC
IPG (E-Support)
Representative,
(E-Support) Representative
(E-Support)
Settlements
Representative
(E-Support)

IVC,IPG, Settlements - Cross Functional Career Matrix
DSD -Custody Processing GFASS & FA TCM – TCM

Instructions
CT & CT Analytics -Asset Admin Processes under IVC,IPG,

EMEA TA - Client Processing
(CDO)
Settlements
MOO -Trade Processing USTA - Client Processing Processes across functions

with similar nature of work
Portfolio Services - Corporate

Actions & Income Click on each process for
DSD -Custody Processing further details
DSD -Custody Processing

CT & CT Analytics -Asset Admin
Click on “IVC,IPG, Settlements”
(CDO)
IPG in cross-functional Navigation to
CT & CT Analytics -Asset Admin come back to this page
(CDO)
MOO -Trade Processing

Settlements CIBC GFASS & FA TCM – TCM
USTA - Fin Control & Corp Action

IVC
USTA - Client Processing

(CDO)
MOO -Trade Processing GFASS & FA TCM – TCM

IPG/CIBC

Trade Capture (IPG/CIBC) - Grade E (Support track) Back to Career Matrix
Qualification
Trade B.Com(preferred)
Capture (IPG/CIBC) or any
- Grade E Graduation with a Concentration in Business or Finance
Experience Freshers (or) Minimum 1 year experience in similar industry
Role Summary
Provides professional support to Advisor Services Group through timely and accurate processing of trade instructions received from
investment managers and clients. The variety of trade instructions, which require daily processing include: US Equity and fixed income
securities, foreign exchange transactions. The incumbent will be expected to interpret trade instructions as well as review input for
accuracy and adherence to section policies and procedures. Incumbent is expected to process a high volume of trades as well as ensure
critical account and depository deadlines are met. The incumbent must be able to recognize and escalate any potential fraudulent
activities as well as work directly with client admin to resolve trade problems to ensure accurate trade settlements.
Competencies
• Excellent organizational and judgement skills • Possess strong • Ability to work with multiple • Demonstrate his/her
• Demonstrate his/her proficiency in the use of analytical skills intra-day deadlines proficiency in the use of
Personal Computers with a windows based • Aptitude for details Personal Computers with
operating system • Ability to communicate a windows based
• Possess strong analytical skills effectively with internal operating system
• Aptitude for details customers and work • Typing speed – 22-25
• Ability to communicate effectively with internal independently while words per minute with
customers and work independently while working under pressure 90% accuracy.
working under pressure to meet strict to meet strict
deadlines. deadlines.
• Typing speed – 22-25 words per minute with
90% accuracy.

Trade Capture (IPG/CIBC)- Grade F (Support track) Back to Career Matrix
• Bachelor’s Degree with a Concentration in Business or Finance

Trade Capture (IPG/CIBC)-
Qualification Grade F
• MBA will be a plus
• Minimum 1- year experience in a similar line of business/ industry – domestic or MNC.
Experience
• Preference to be given to a similar experience in a BPO environment with a night shift exposure.
Role Summary
provides services to admin groups through timely and accurate processing of trade instructions received from investment managers and clients. The
variety of trade instructions, which require daily processing, include: US Equity and Fixed Income Securities, Foreign exchange transactions. The
incumbent will verify the trades and if a need be will enter the trades and sees through their completion in GSP.
The incumbent will be expected to interpret trade instructions as well as review input for accuracy and adherence to section policies and procedures.
Incumbent is expected to process a high volume of trades as well as ensure critical account and depository deadlines are met. The incumbent must be
able to recognize and escalate any potential fraudulent activities and to ensure timely service. The incumbent will be responsible for duplicate review
and supervisory items in GSP.
The incumbent should ensure smooth function of trade process. He is responsible for floor support. He will have to support the Team Lead to achieve
the defined SLA’s like Accuracy and TAT.
Competencies
• Intermediate level of knowledge of the financial • Ability to communicate • Basic people management • Typing speed – 22-25
and securities market (required). Awareness of effectively with internal knowledge (preferred) words per minute with
the trade and settlement cycles will be a plus. customers – both 90% accuracy.
• Basic MS Office, MS Word, MS Excel. written and verbal

Trade Capture (IPG/CIBC)- Grade G (Support/IC track) Back to Career Matrix
Qualification • B.Com and/or MBA in Finance (preferred) Any Graduation or Masters Degree
Trade Capture (IPG/CIBC)- Grade G
• Minimum 6 to 7 years’ experience in Trade Capture, Cash, Derivatives, Corporate Actions or exposure in Financial Industry
Experience
is Preferable
Role Summary
Train and coach Trade Capture Agents and Experts
Participate in Trade Capture Agents’ and Experts’ assessment; give regular feedback on their work efficiency and quality
Help team members in achieving their objectives
Share experience and expertise with other team members and Controllers
Competencies
• Securities Industry Knowledge • Good written and oral • Moderate People • Excellent system and PC
English communication Management Skills skills – MSOffice, MS
skills required (preferred) word, MS Excel , MS
PowerPoint

Trade Capture (IPG/CIBC)- Grade H (Support track) Back to Career Matrix
Qualification
Trade • B.Com and/or
Capture (IPG/CIBC)- MBA H
Grade in Finance (preferred) Any Graduation or Masters Degree
• Minimum 6 to 7 years’ experience in Trade Capture, Cash, Derivatives, Corporate Actions or exposure in Financial
Experience
Industry is Preferable
Role Summary
The Instructions Verification Centre (IVC) has been created to centralize all incoming manual messages and to authenticate these before distribution to
the relevant department. BNY Mellon has strict rules and procedures where verification of manual messages and non electronic instructions is
necessary to avoid criminal activity. Therefore it is the role of the IVC department to apply strict procedures, to be aware of suspicious behaviour from
clients and to act accordingly to avoid negative impacts for the benefit of the Bank as well as for the clients.
Working as part of a team the Ld Rep, Client Processing will be required to ensure the daily tasks of his/her team are duly performed through intra-day
controls. He / she will be required to authenticate and dispatch client instructions accurately and answer internal queries in a timely (within 1hour SLA)
and efficient manner, operating in a high pressure environment while keeping a positive attitude.
He/she is required to perform call-backs to client and client service and performs additional complex tasks
The incumbent must be able to recognize and escalate any potential fraudulent activities and to ensure timely service. A key responsibility of this role is
to conduct quality check, perform control queue functions, represent Chennai IVC on Global calls, perform testing, identify opportunities and implement
process efficiency enhancements, conduct 1:1.
Competencies
PowerPoint

Trade Capture (IPG/CIBC)- Grade J (PM track) Back to Career Matrix
Qualification
Capture (IPG/CIBC)- MBA J
Experience • Minimum 2 years in Team Lead or 1 year experience in Assistant Manager Profile , preferably in similar industry
Role Summary
Manage business units consisting of Operation Executives, Analysts and Team Leaders.
Oversee the effective monitoring and processing of all cash & trade related instructions received via electronic channels along with fax and encrypted e-
mail.
Ensure established processes are adhered to and understood meeting the following requirements ; Critical account, depository, and market deadlines
Established TATs (Turn Around Times) SLA (Service Level Agreements)
Work with the Team Leaders and Analysts to resolve processing issues.
Ensure completion of all critical daily controls and compliance with regulatory requirements, and corporate & departmental policies and procedures.
Provide leadership, direction, guidance, support and development opportunities to staff
Provide backup assistance to the Operations Manager as required.
Authorize high dollar value and high risk market transactions.
Competencies
• Securities Industry Knowledge • Strong written and oral • Proven People, Process & • Excellent system and PC
English communication Customer Management skills
skills (required) skills

Trade Capture (IPG/CIBC)- Grade K (PM track) Back to Career Matrix
Qualification
Capture (IPG/CIBC)- MBAK
Experience • Minimum 6-8 years in Manager's role, preferably in similar industry
Role Summary
The individual is required to manage day-to-day activities, ensure quality and accuracy of Trade processing is maintain a high standard. Ensure that all
SLAs as agreed with key operations areas a adhered to. Oversees implementation of new project, migration related tasks and understand the impact of
project on Team. Oversee process trending around exception management, error management, maintain related documents and provide process
related enhancement to consistently make process better. Mentor, Groom and motivate staff so that the best outcome can be derived. Take regular skip
level meetings to understand process and people problem within function and address them effectively. Keep close watch on customer voice to
understand where business is standing and how it can be improved on performance and deliverables.
Competencies

Instructions Verification Center (IVC)

Instructions Verification Center (IVC)- Grade E (Support track) Back to Career Matrix
• B.com or Economics
Qualification
• MBA preferably with financial background will be a plus
• Freshers (or)
Experience
• Minimum 1 year experience in similar industry
Role Summary
Working as part of a team, the Rep, Client Processing will be required to authenticate and dispatch client instructions accurately and in a timely manner.
He / she will be required to apply the rules / procedures to verify and distribute instructions from our clients to internal departments and answer internal
queries in a timely and efficient manner (within 1hour SLA) , operating in a high pressure environment while keeping a positive attitude.
He/she will be required to perform all IVC Agent tasks including call-backs to client and client service and performs additional complex tasks.
Competencies
• Securities Industry Knowledge • Good written and oral • Ability to work with multiple • Excellent system and PC
English communication intra-day deadlines skills – MSOffice, MS
skills (required) word, MS Excel
• Good English aptitude

Instructions Verification Center (IVC)- Grade F (Support track) Back to Career Matrix
• Bachelor’s Degree with a Concentration in Business or Finance

Qualification
• Maximum 2 year experience in Trade Capture, Cash, Corporate Actions or exposure in Financial Industry is
Experience
Preferable
Role Summary
Working a part of a team the Analyst will be required to ensure the daily tasks of his/her team are duly performed through intra-day controls. He / she
will be required to authenticate and dispatch client instructions accurately and answer internal queries in a timely and efficient manner operating in a
high pressure environment while keeping a positive attitude. The incumbent must be able to recognize and escalate any potential fraudulent activities
and to ensure timely service. A key responsibility of this role is to conduct quality check and perform control queue functions
Competencies
• Securities Industry Knowledge • Good written and oral • Basic people management • Excellent system and PC
English communication knowledge (preferred) skills – MSOffice, MS
skills (required) word, MS Excel , MS
PowerPoint

Instructions Verification Center (IVC)- Grade G (Support/IC track) Back to Career Matrix
Qualification
Experience
Role Summary
Competencies
• Securities Industry Knowledge • Good written and oral • Ability to work with multiple • Excellent system and PC
English communication intra-day deadlines skills – MSOffice, MS
skills (required) word, MS Excel , MS
• Good English aptitude PowerPoint

Instructions Verification Center (IVC)- Grade H (Support track) Back to Career Matrix
Qualification
Experience • Minimum 3 Years of functional experience, similar line of business/industry
Role Summary
Working as part of a team the Ld Rep, Client Processing will be required to ensure the daily tasks of his/her team are duly performed through intra-day
controls. He / she will be required to authenticate and dispatch client instructions accurately and answer internal queries in a timely (within 1hour SLA)
and efficient manner, operating in a high pressure environment while keeping a positive attitude.
He/she is required to perform call-backs to client and client service and performs additional complex tasks
The incumbent must be able to recognize and escalate any potential fraudulent activities and to ensure timely service. A key responsibility of this role is
to conduct quality check, perform control queue functions, represent Chennai IVC on Global calls, perform testing, identify opportunities and implement
process efficiency enhancements, conduct 1:1.
Competencies

• Securities Industry Knowledge • Good written and oral • Moderate People • Proven People
English communication Management Skills Management skills
skills (required) (preferred) • Excellent system and PC
• Good English aptitude skills – MSOffice, MS
word, MS Excel , MS
PowerPoint

Instructions Verification Center (IVC)- Grade J (PM track) Back to Career Matrix
Qualification
Role Summary
Competencies

Instructions Verification Center (IVC)- Grade K (PM track) Back to Career Matrix
Role Summary
Competencies

Settlements

Settlements - Grade E (Support track) Back to Career Matrix
Qualification • B.Com(preferred) or any Graduation with a Concentration in Business or Finance
Experience • Previous experience in a financial services environment is preferred but not essential.
Role Summary
• Monitor, update and take all necessary action to resolve unsettled transactions and rectify cash and stock breaks throughout the day,
particularly when approaching market deadlines
• Analyse situations and issues logically and systematically, generating sound assessments and practical solutions.
• Communication – You will be required to liaise with internal and market counterparties in their dealings with the BNY Mellon and
Settlements. You will have Interaction with other teams and internal clients. You will identify potential issues for timely escalation. You
will lead by example, ensuring that all communications reflect the organisation’s high standards of excellence.
• Complete daily checklists in line with team procedures and ask questions if uncertain.
• Escalate any potential or actual issues immediately with management, whether cost incurring or otherwise.
• Adhere to all BNY Mellon policies and procedures, in addition to regulations imposed by relevant external bodies. Remain vigilant as to
particularly high value activity for which team is responsible, and associated risks.
• Exhibit the ability to identify problems and come to coherent conclusions or resolutions, being able to execute on that solution.
• Seek opportunities to widen skill-set for benefit of business and of self.
Competencies
• Previous experience in a • Excellent communication skills - • Ability to work with multiple • Good knowledge of MS
financial services environment is both written and verbal. intra-day deadlines Excel and MS Word.
preferred but not essential. • Strong desire for excellence with a
conscientious approach.
• Strong organisational skills and
ability to prioritise in a pressurised
environment.
• Flexibility.
• Strong client service ethic.
• Risk aware

Settlements - Grade F (Support track) Back to Career Matrix
Qualification • Bachelor’s Degree with a Concentration in Business or Finance . MBA will be a plus
• Previous experience in a financial services environment is preferred but not essential.

• The successful applicant will be able to demonstrate very strong interpersonal and communication skills. They will
be able to show that they have taken personal responsibility for their own personal and professional development.
• The successful applicant will have demonstrated an ability to make potentially complex decisions under pressure
of time, preferably in a highly regulated environment. Analytical thinking will be a key competence in developing
Experience solutions to issues while maintaining close attention to detail.
• Establish constructive working relationships with key stakeholders including clients, counterparties, and relevant
internal operations teams.
• Embrace opportunities to develop network of professional contacts.
• Ensure efficient turnaround of accurate and coherent correspondence with internal and external clients.
• Ensuring that all communications reflect the organisation’s high standards of excellence.
Role Summary
The Trade Settlements Department is responsible for settling trades and reporting discrepancies to the Client & Advisor Services Group or other
relevant business units. The Analyst is responsible for delegating workload, training and supporting the team members in fulfilling their responsibilities
within the Team environment, and ensuring that trade discrepancies are researched and resolved within the time frames provided. Ensures that
policies, procedures and audit requirements are adhered to, that work is complete and accurate, and that service quality standards are met.
Competencies

• Attention to detail. • Excellent • Basic people management • Good knowledge of MS
• Strong desire for excellence with a communication skills - knowledge (preferred) Excel and MS Word.
conscientious approach. both written and verbal.
• Strong organisational skills and ability to
prioritise in a pressurised environment.
• Flexibility.
• Strong client service ethic.
• Risk aware

Settlements - Grade G (Support track) Back to Career Matrix
Experience
Role Summary
• Train and coach Trade Capture Agents and Experts
• Participate in Trade Capture Agents’ and Experts’ assessment; give regular feedback on their work efficiency and quality
• Help team members in achieving their objectives
• Share experience and expertise with other team members and Controllers
Competencies

PowerPoint

Settlements - Grade H (Support track) Back to Career Matrix
Qualification • University education or equivalent formal post secondary education
• Approximately 3 years experience in trade settlements

Experience
• Canadian Securities Course, preferred
Role Summary
The Trade Settlements Department is responsible for settling trades and reporting discrepancies to the Client & Advisor Services Group or other
relevant business units. The Team Leader is responsible for delegating workload, training and supporting the team members in fulfilling their
responsibilities within the Team environment, and ensuring that trade discrepancies are researched and resolved within the time frames provided.
Ensures that policies, procedures and audit requirements are adhered to, that work is complete and accurate, and that service quality standards
are met.
Competencies
• Approximately 3 years experience in trade • Leadership ability • Previous training and • Good PC and keyboard
settlements • Good organizational, leadership experience, skills
• Canadian Securities Course, preferred planning and time preferred
management skills
• Excellent
communication skills
• Strong problem solving
skills
• Ability to work well with
others

Settlements- Grade J (PM track) Back to Career Matrix
Role Summary
• Manage business units consisting of Operation Executives, Analysts and Team Leaders.
• Oversee the effective monitoring and processing of all cash & trade related instructions received via electronic channels along with fax
and encrypted e-mail.
• Ensure established processes are adhered to and understood meeting the following requirements ; Critical account, depository, and
market deadlines Established TATs (Turn Around Times) SLA (Service Level Agreements)
• Work with the Team Leaders and Analysts to resolve processing issues.
• Ensure completion of all critical daily controls and compliance with regulatory requirements, and corporate & departmental policies and
procedures.
• Provide leadership, direction, guidance, support and development opportunities to staff
• Provide backup assistance to the Operations Manager as required.
• Authorize high dollar value and high risk market transactions.
Competencies

Settlements- Grade K (PM track) Back to Career Matrix
Role Summary
Competencies

RCoE - RSG

Click here for
Learning Pathway
RCOE-RSG-Business Overview
RCOE RSG is performing Reconciliation between Market Vs BNYM Books and Records. All reconciliations are performed on automated
reconciliation tool TLM(Transaction Lifecycle Management). RCOE RSG has a presence in Oriskany, Manchester, Pittsburgh and Pune. It
broadly have 3 main reconciliation streams vise Non-Custody Reconciliation, Custody Reconciliation & Transformation and GBS team.
• Non-Custody Reconciliation: This reconciliation is predominantly performed between various fund managers, Transfer agents vs
BNYM Books and Records. This mainly falls into Monthly Reconciliation frequency. Here statement records are coming in multiple ways
like Web Download, FTP, SWIFT, Faxes and email PDFs. Discrepancies are assigned through TLM to responsible operations groups.
• Custody Reconciliation: This reconciliation is predominantly performed between various Sub Custodians across world vs BNYM Books
and Records. This mainly falls into Daily Reconciliation frequency. It is performed for both Securities and Cash. Here statement records
are coming in form of SWIFTs. Discrepancies are assigned through TLM to responsible operations groups. This is consider to be critical
reconciliation compared to Non Custody Reconciliation.
• Transformation and GBS: This Team is not a Reconciliation team. This team is divided into two groups. One group looks into TLM
Account setup and maintenance side. Other group is performing more of a project related activities. They look after all the enhancements
that are raised by Operations group. Activities like TLM onboarding, Break Reduction Activities for Operations, adding auto matching
rules etc been done by this team. It predominantly requires work experience around project and project management.

RCoE – RSG - Career Matrix
Lead Manager, Lead Manager,

(K-Management) (K-Management)
Manager,
Manager, Manager, (J-IC)
Job Complexity
Team Lead,
Team Lead, Team Lead, (I-IC)
(I-Support) (I-Support)
Lead Representative,
Lead Lead (H-IC)
Representative, Senior Representative,
(H-Support) Senior Senior
Representative, (H-Support) Representative,
Senior Senior Representative, (G-
(G-IC) (G-IC) IC)
(G-Support) (G-Support)
Intermediate
Representative, Intermediate Transformation & GBS
(F-Support) Representative,
(F-Support)
Legen
Non-Custody Recon Custody Recon Existing Roles In India
d

Navigation
Functional

Cross


RCoE RSG Job Code Family:
70665 Analyst, Reconciliation Idividual Contributor
70666 Senior Analyst, Reconciliation Idividual Contributor
70667 Lead Analyst, Reconciliation Idividual Contributor
70668 Specialist, Reconciliation Idividual Contributor
70664 Jr Representative, Reconciliation Support
70571 Representative, Reconciliation Support
70570 Intermediate Representative, Reconciliation Support
70569 Senior Representative, Reconciliation Support
70568 Lead Representative, Reconciliation Support
70567 Team Lead, Reconciliation Support
70566 Manager, Reconciliation Management
70565 Lead Manager, Reconciliation Management
70564 Group Manager, Reconciliation Management
70563 Senior Group Manager, Reconciliation Management

Growth Matrix :
Non Custody Custody
Reconciliation Reconciliation
Non Custody Custody
Reconciliation
Reconciliation

RCoE –RSG - Cross Functional Career Matrix
HedgeMark-Hedge Fund - Holding

DSD –Reconciliation
Reconciliation
DSD –Reconciliation AIS - Recon Instructions
CT & CT Analytics - DLM/QSR GIA - Reconciliation - GIA & Global CT & CT Analytics - DLM/QSR EMEA TA – Reconciliation
Processes under
(Recon) (Recon) Reconciliations
CT & CT Analytics - Cash GFASS & FA TCM - Investor CT & CT Analytics - Cash Processes across functions
MOO - Reconciliation
Reconciliation (CD0) - US & EMEA Services Reconciliation (CD0) - US & EMEA with similar nature of work

AIS - Recon
Reconciliation Click on each process for
further details
EMEA TA – Reconciliation GIA - Reconciliation - GIA & Global

Click on “Reconciliations” in
Non-custody Custody cross-functional Navigation to
MOO - Reconciliation Recon Recon GFASS & FA TCM - Investor come back to this page
Services
Transformation &
GBS
DSD -SME
CT & CT Analytics - DLM/QSR CT & CT Analytics - Cash

(Recon) Reconciliation (CD0) - US & EMEA
AIS - Recon EMEA TA – Reconciliation MOO - Reconciliation

GIA - Reconciliation - GIA & Global Billing -Production Support
Reconciliation

Reconciliations
Custody Reconciliation Team

Custody Reconciliation - Grade J (Management)
Qualification Bachelor’s degree (Commerce preferred)Post Graduate in Business is preferred.
8-9 years of total work experience preferred; experience in brokerage/banking operations preferred.
Experience
Out of that 3-4 years experience of Team Handling is essential. (15-30 Team Members)
Role Summary: The individual is required to monitor Reconciliation between Sub custodian (Market) books and records Vs BNYM Books
and Records. Manage day-to-day reconciliation activities and accuracy and timeliness of reconciliation and escalate issues to next level
manager. Conduct periodic team meeting and provide necessary updates on process and other related areas. Establish and update
Standard Operating Procedures. Complete workforce assessment for process, recruit new staff, motivate and groom staff to get the
maximum contribution from them. Ensure that any reconciliation changes updated seamlessly.
Competencies
• Basics Of Accounting and Reconciliation as to how it • Strong verbal and • Identifies trends, provides • Proficiency in MS
works. written communication root cause analysis and Office (excel,
• Escalation handling and timely escalation. skills. executes on PowerPoint, Word)
• Work on conversion and migration related projects. • Email and Telephone recommendations. • Exposure to
• Understanding of basic financial instruments like Etiquettes. • Conducts technical testing Reconciliation
Securities, bonds, T-Bills etc. • Interpersonal Skills and the implementation of platform (such as
• Understanding standard messaging system like • Timely escalations reconciliation software TLM, Intellimatch etc.)
SWIFT is essential. • Prioritization. changes. • Exposure to Research
• Basis understanding of Transaction lifecycle, Types of • Strong Analytical skills • Receives guidance from Databases (such as
Corporate Actions, Income events, Payments related required. more experienced staff. Bloomberg or IDC)
issues etc. is added advantage. • Time and Resource • Reach out to customers • Exposure Data
• Experience around Audit presentations is essential. management. and stake holders to see Analytical tools is an
Effectively handle audit requests and provide required • Experience in what are the requirements added advantage
data accurately and timely. performance and changes around
• Effectively needs to handle escalations and take management process is services that they are
preventive majors so that issue will not occur again. essential. expecting.

Custody Reconciliation - Grade K (Management)
Experience Out of that 6-8 years experience of Team Handling is essential. Minimum Team size is 15-30 people (Direct/Indirect
Reporting
Role Summary: The individual is required to manage day-to-day activities, ensure quality and accuracy of reconciliation is maintain a high
standard. Ensure that all SLAs as agreed with key operations areas a adhered to. Oversees implementation of new reconciliation project,
migration related tasks and understand the impact of project on Team. Oversee process trending around exception management, error
management, maintain related documents and provide process related enhancement to consistently make process better. Mentor, Groom
and motivate staff so that the best outcome can be derived. Take regular skip level meetings to understand process and people problem
within function and address them effectively. Keep close watch on customer voice to understand where business is standing and how it
can be improved on performance and deliverables.
Competencies
• Basics Of Accounting and Reconciliation • Strong verbal and • Monitor trends, provides root cause • Proficiency in MS
as to how it works. written analysis and provide details to Senior Office (excel,
• Escalation handling and timely communication skills. Management. PowerPoint, Word)
escalation. • Email and Telephone • Ensure that all functions are running • Exposure to
• Work on conversion and migration Etiquettes smoothly without any issues on people and Reconciliation
related projects. • Interpersonal Skills process side. platform (such as
• Understanding of basic financial • Timely escalations • Should take inputs from staff as well as TLM, Intellimatch etc.)
instruments like Securities, bonds, T-Bills • Prioritization. stake holders and propose implementation • Exposure to Research
etc. • Strong Analytical of process enhancement to Management. Databases (such as
• Understanding standard messaging skills required. • Conduct customer voice survey and Bloomberg or IDC)
system like SWIFT is essential. • Time and Resource provide results to Senior Management. • Exposure Data
• Experience around Audit presentations is management. • Clear any audit related issues (Internal & Analytical tools is an
essential. Effectively handle audit • Experience in External) and give heads up to Senior added advantage
requests and provide required data performance Management around critical audit
accurately and timely. management observations or Findings.
• Effectively needs to handle escalations process is essential • Should groom and mentor people to help
and take preventive majors so that issue them grow.
will not occur again.

Custody Reconciliation - Grade E (Support Track)
Experience 1-2 years of total work experience preferred; experience in brokerage/banking operations preferred.
Role Summary: The individual is required to perform Reconciliation between Sub custodian (Market) books and records Vs BNYM
Books and Records. All the reconciliation deadlines to be followed as agreed in SLA with respective departments. Reconciliation to be
completed with utmost accuracy and timeliness following the standard operating procedure; exceptions investigation and sourcing to
be completed for the set reconciliation frequency. All issues related to missing statements or otherwise to be raised on urgent basis to
immediate Supervisor.
Competencies
• Basics Of Accounting and Reconciliation as to • Strong verbal and Performs daily reconciliations, • Proficiency in MS Office
how it works. written communication identification of basic (excel, PowerPoint, Word
• Break Identification and root cause analysis skills. exceptions between systems, • Exposure to Reconciliation
• Understanding of basic financial instruments • Email and Telephone clients, institutions, etc. for platform (such as TLM,
like Securities, bonds ,T-Bills etc.. Etiquettes. securities & cash. Identify Intellimatch etc.)
• Understanding standard messaging system like • Interpersonal Skills correct action party for • Exposure to Accounting
SWIFT is essential. • Timely escalations. resolution and code exception Platforms (IMMS,GSP or
• Knowledge of Cash Reconciliation is essential. • Open minded and ready to that department. other market standard
for changes and Focus is on learning the custody systems)
challenges. reconciliation process. • Exposure to Research
Do the standard reporting and Databases (such as
complete the checklist task on Bloomberg or IDC)
reconciliation.

Custody Reconciliation - Grade F (Support Track)
Qualification Bachelor’s degree (Commerce preferred)Post Graduate in Business is preferred..
Experience
Out of that Team handling experience require
Role Summary: The individual is required to monitor and perform Reconciliation between Sub custodian (Market) books and records Vs
BNYM Books and Records. All Reconciliation deadlines as agreed in SLA with respective departments, to be monitored and issues should
be raised to immediate supervisor. He/She need to make sure that accuracy and timeliness is maintained at high standard following the
standard operating procedure; exceptions investigation and sourcing to be completed for the set reconciliation frequency. The individual
need to assist team members on resolving issues coming in reconciliation. Changes related to Reconciliation standard operating
procedure need to be highlight and incorporate in the document. All issues related to missing statements or otherwise to be raised on
urgent basis to immediate Supervisor.
Competencies
• Basics Of Accounting • Strong verbal and written • Inputs around Work • Proficiency in MS Office
• Break Identification and root cause communication skills. allocation, Backup (excel, PowerPoint, Word)
analysis • Strong understanding of Custody planning, capacity planning • Exposure to Reconciliation
• Understanding of basic financial Reconciliation (Cash and etc. platform (such as TLM,
instruments like Securities, bonds, T- Securities) and exceptions. • Analysis around volume Intellimatch etc.)
Bills etc. Understanding of Notstro account trends, Error count trend, • Exposure to
• Basic understanding standard reconciliation is added identification of process Accounting/Custody
messaging system like SWIFT is advantage. efficiencies. Platforms (such as GSP,
preferred. • Email and Telephone Etiquettes • Ensures Accountability - IMMS, PSS, GTM or other
• Basis understanding of Transaction • Analysis Skills Takes ownership of the standard custody systems
lifecycle, Corporate Actions, Income • Prioritization – Time Reconciliation performed used across Industry)
events, Payments related issues etc. Management. within sub functions. • Exposure to Research
is added advantage. • Innovation & Problem solving. • Drives Results Databases (such as
• Developing Partnerships Bloomberg or IDC)

Custody Reconciliation - Grade G (Support Track)
5-7 years of total work experience preferred; experience in brokerage/banking operations preferred. Team Handling
Experience
experience is advantage (5-7 Team Members)
Role Summary: The individual is required to monitor Reconciliation between Sub custodian (Market) books and records Vs BNYM Books
and Records. All Reconciliation deadlines as agreed in SLA with respective departments, to be monitored and issues should be raised to
immediate Manager. Track the accuracy and timeliness of the reconciliation. Update KPI/KRI on weekly/monthly basis. Track individual
performance for team members and provide regular feedback. Periodically review standard operating procedure document and make sure
it is updated with changes. All process or people related issue need to be communicated to next level manager. Plan leaves for team and
take care of the backup for function. Conduct Performance Management Program for the team.
Competencies
• Basics Of Accounting • Strong verbal and written • People management • Proficiency in MS Office (excel,
• Break Identification and root cause communication skills skill. - Work allocation, PowerPoint, Word)
analysis • Email and Telephone Etiquettes Leave planning, backup • Exposure to Reconciliation
• Understanding of basic financial • Analytical skills are essential to planning, conflicts platform (such as TLM,
instruments like Securities, bonds, T- find out ways for process management & Intellimatch etc.)
Bills etc. improvements. capacity planning etc. • Exposure to
• Understanding standard messaging • Prioritization – Time • Ensures Accountability Accounting/Custody Platforms
system like SWIFT is essential. Management, work management. - Takes ownership of (such as GSP, IMMS, PSS,
• Basis understanding of Transaction • Innovation & Problem solving. the Reconciliation GTM or other standard custody
lifecycle, Types of Corporate • Prepare MIS Reports and process. systems used across Industry)
Actions, Income events, Payments circulate across management • Drives Results. • Exposure to Research
related issues etc. is added team for visibility purpose. • Builds Effective Teams Databases (such as Bloomberg
advantage. • Change management • Developing or IDC).
• Should handle BCP testing and • Interpersonal Skills Partnerships • Knowledge around CMS (Crisis
Weekend system testing for CMS • Timely escalations Management System) is added
(Crisis Management System). advantage.

Custody Reconciliation - Grade G (IC Track)
5-7 years of total work experience preferred; experience in brokerage/banking operations preferred. Experience around
Experience
process enhancements is added advantage.
Role Summary: The individual is required to monitor and analyze the reconciliation data. Identify and Provide trends around data points
like exception counts, assignments per department, count of re-assignments, email queries. Perform root cause analysis of issues like
incorrect assignments, incorrect account setups. Provide details on process enhancements to technology team and execute changes into
process. Review process periodically with more senior team member to find more process improvement opportunities.
Competencies

• Basics Of Accounting • Strong verbal and written • Ensures Accountability - • Proficiency in MS Office (excel,
• Break Identification and root cause communication skills Takes ownership of the PowerPoint, Word)
analysis • Email and Telephone Reconciliation. • Exposure to Reconciliation
• Understanding of basic financial Etiquettes • Drives Results. platform (such as TLM,
instruments like Securities, bonds, T-Bills • Analytical skills are essential • Developing Partnerships Intellimatch etc.)
etc. to find out ways for process with Key stake holders. • Exposure to
• Understanding standard messaging improvements. • Work towards process Accounting/Custody Platforms
system like SWIFT is essential. • Innovation & Problem enhancements and make (such as GSP, IMMS, PSS,
• Basis understanding of Transaction solving. sure results delivered on GTM or other standard custody
lifecycle, Types of Corporate Actions, • Prepare MIS Reports and timely manner. systems used across Industry)
Income events, Payments related issues circulate across • Exposure to Research
etc. is added advantage. management team for Databases (such as Bloomberg
visibility purpose. or IDC).
• Change management • Knowledge around CMS (Crisis
• Interpersonal Skills Management System) is added
• Timely escalations advantage.

Custody Reconciliation - Grade H (Support Track)
Qualification Bachelor’s degree (Commerce preferred)Post Graduate/Masters Degree in Business is preferred..
Experience Out of that 3-5 years experience of project work and process analysis. Process enhancement experience is added
advantage.
Roll Summary: The individual is required to complete in-depth reconciliation data analysis. Identify and Provide trends around data
points like exception counts, assignments per department, count of re-assignments, email queries. Perform root cause analysis of issues
like incorrect assignments, incorrect account setups. Provide details on process enhancements to technology team and execute changes
into process. Review process periodically with more senior team member to find more process improvement opportunities. Conducts
technical testing & implementation of reconciliation software.
Competencies
• Basics Of Accounting and Reconciliation as • Strong verbal and written • Identifies trends, provides • Proficiency in MS Office
to how it works. communication skills. root cause analysis and (excel, PowerPoint, Word)
• process analysis and time study on process. • Email and Telephone executes on • Exposure to Reconciliation
• Work on system migration related projects Etiquettes recommendations. platform (such as TLM,
and process enhancement related projects. • Interpersonal Skills Conducts technical testing Intellimatch etc.)
• Understanding of basic financial instruments • Timely Prioritization of and the implementation of • Exposure to Research
like Securities, bonds, T-Bills etc. process enhancements. reconciliation software Databases (such as
• Understanding standard messaging system • Presentation skills are changes. Receives Bloomberg or IDC)
like SWIFT is essential. essential. guidance from more • Exposure Data Analytical
• Strong Analytical skills experienced staff. tools is an added
required. advantage

Custody Reconciliation - Grade I (Support Track)
advantage.
Competencies
required. • Expertise around escalation advantage
handling is advantage.

Reconciliations
Non-Custody Reconciliation Team

Non Custody Reconciliation - Grade E (Support Track)
Role Summary: The individual is required to perform Reconciliation between Sub custodian (Market) books and records Vs BNYM Books
and Records. All the reconciliation deadlines to be followed as agreed in SLA with respective departments. Reconciliation to be completed
with utmost accuracy and timeliness following the standard operating procedure; exceptions investigation and sourcing to
Competencies
• Basics Of Accounting and Reconciliation as to • Strong verbal and Performs daily reconciliations, • Proficiency in MS Office
how it works. written communication identification of basic (excel, PowerPoint, Word
• Break Identification and root cause analysis skills exceptions between systems, • Exposure to Reconciliation
• Understanding of basic financial instruments • Email and Telephone clients, institutions, etc. for platform (such as TLM,
like Securities, bonds ,T-Bills etc.. Etiquettes securities cash. Identify correct Intellimatch etc.)
• Understanding standard messaging system like • Interpersonal Skills action party for resolution and • Exposure to Accounting
SWIFT is essential. • Timely escalations code exception to that Platforms (such as TLM)
department. • Exposure to Research
Focus is on learning the Databases (such as
reconciliation process. Bloomberg or IDC)
Do the standard reporting and
complete the checklist task on
reconciliation

Non Custody Reconciliation - Grade F (Support Track)
Experience
Out of that Team handling experience require.
Role Summary: The individual is required to monitor and perform Reconciliation between Sub custodian (Market) books and records Vs
BNYM Books and Records. All Reconciliation deadlines as agreed in SLA with respective departments, to be monitored and issues should
be raised to immediate supervisor. He/She need to make sure that accuracy and timeliness is maintained at high standard following the
standard operating procedure; exceptions investigation and sourcing to be completed for the set reconciliation frequency. The individual
need to assist team members on resolving issues coming in reconciliation. Changes related to Reconciliation standard operating
procedure need to be highlight and incorporate in the document. All issues related to missing statements or otherwise to be raised on
Competencies

• Basics Of Accounting • Strong verbal and written • Inputs around Work • Proficiency in MS Office
• Break Identification and root cause analysis communication skills allocation, Backup (excel, PowerPoint, Word)
• Understanding of basic financial instruments • Email and Telephone planning, capacity • Exposure to Reconciliation
like Securities, bonds, T-Bills etc. Etiquettes planning etc. platform (such as TLM,
• Basic understanding standard messaging • Analysis Skills • Analysis around volume Intellimatch etc.)
system like SWIFT is preferred. • Prioritization – Time trends, Error count trend, • Exposure to Accounting
• Basis understanding of Transaction lifecycle, Management identification of process Platforms (such as TLM)
Corporate Actions etc. is added advantage. • Innovation & Problem efficiencies. • Exposure to Research
solving . • Ensures Accountability - Databases (such as
Takes ownership of the Bloomberg or IDC)
Reconciliation performed
within sub functions.
• Drives Results
• Developing Partnerships

Transformation and GBS- Grade G (Support Track)
Experience
Out of that Team handling experience require. (minimum5-7 Team Members).
Role Summary: The individual is required to monitor Reconciliation between Fund Manager, Transfer Agents (Market) books and records
Vs BNYM Books and Records. All Reconciliation deadlines as agreed in SLA with respective departments, to be monitored and issues
should be raised to immediate Manager. Track the accuracy and timeliness of the reconciliation. Update KPI/KRI on weekly/monthly
basis. Track individual performance for team members and provide regular feedback. Periodically review standard operating procedure
document and make sure it is updated with changes. All process or people related issue need to be communicated to next level manager.
Plan leaves for team and take care of the backup for function. Conduct Performance Management Program for the team.
Competencies
• Basics Of Accounting and Reconciliation as • Strong verbal and written • Responsible for assisting in the data • Proficiency in MS
to how it works. communication skills. analysis of reconciliations. Office (excel,
• Break Identification and root cause analysis. • Strong Analytical Skills Simultaneously needs to handle PowerPoint, Word)
• Understanding of basic financial instruments • Email and Telephone work allocation, team leave • Exposure to
like Securities, bonds, T-Bills etc. Etiquettes planning, backup planning etc. Reconciliation
• Understanding standard messaging system • Prioritization – Time platform (such as
like SWIFT, online data hosting portals is Management for • Participates in identifying trends, TLM, Intellimatch
essential. project/task delivery. providing root cause analysis and etc.)
• Fund Reconciliation knowledge is added • Innovation & Problem execution on recommendations. • Exposure to
advantage. solving Accounting Platforms
• Should be SME on the processing and able • Change management • Shadows more senior staff in (such as TLM)
to handle critical queries effectively. • Interpersonal Skills conducting technical testing and the • Exposure to
• Complete audits data requirements in • Timely escalations of implementation of reconciliation Research Databases
accurate and timely manner. process, people related application changes/updates. (such as Bloomberg
issues to the next level • Should handle BCP testing and or IDC)
Weekend system testing for CMS

Custody Reconciliation - Grade G (IC Track)
5-7 years of total work experience preferred; experience in brokerage/banking operations preferred. Experience around
Experience
process enhancements is added advantage.
Role Summary: The individual is required to monitor and analyze the reconciliation data. Identify and Provide trends around data points
like exception counts, assignments per department, count of re-assignments, email queries. Perform root cause analysis of issues like
incorrect assignments, incorrect account setups. Provide details on process enhancements to technology team and execute changes into
process. Review process periodically with more senior team member to find more process improvement opportunities.
Competencies

• Basics Of Accounting • Strong verbal and written • Ensures Accountability - • Proficiency in MS Office (excel,
• Break Identification and root cause communication skills Takes ownership of the PowerPoint, Word)
analysis • Email and Telephone Reconciliation. • Exposure to Reconciliation platform
• Understanding of basic financial Etiquettes • Drives Results. (such as TLM, Intellimatch etc.)
instruments like Securities, bonds, • Analytical skills are essential • Developing Partnerships • Exposure to Accounting/Custody
T-Bills etc. to find out ways for process with Key stake holders. Platforms (such as GSP, IMMS, PSS,
• Understanding standard messaging improvements. • Work towards process GTM or other standard custody
system like SWIFT is essential. • Innovation & Problem enhancements and make systems used across Industry)
• Basis understanding of Transaction solving. sure results delivered on • Exposure to Research Databases
lifecycle, Types of Corporate • Prepare MIS Reports and timely manner. (such as Bloomberg or IDC).
Actions, Income events, Payments circulate across • Work with external • Knowledge around CMS (Crisis
related issues etc. is added management team for parties to automate stuff Management System) is added
advantage. visibility purpose. coming in manual or advantage.
• Change management other way.

Non Custody Reconciliation - Grade H (Support Track)
advantage.
Competencies
required. advantage

Non Custody Reconciliation - Grade I (Support Track)
advantage.
Competencies
required. • Expertise around escalation advantage
handling is advantage.

Non Custody Reconciliation - Grade J (Management)
Experience
Out of that 3-4 years experience of Team Handling is essential. (5-15 Team Members)
Role Summary: The individual is required to monitor Reconciliation between Fund Managers, Transfer Agents (Market) books and
records Vs BNYM Books and Records. Manage day-to-day reconciliation activities and accuracy and timeliness of reconciliation and
escalate issues to next level manager. Conduct periodic team meeting and provide necessary updates on process and other related areas.
Establish and update Standard Operating Procedures. Complete workforce assessment for process, recruit new staff, motivate and groom
staff to get the maximum contribution from them. Ensure that any reconciliation changes updated seamlessly.
Competencies

• Basics Of Accounting and • Strong verbal and written • Identifies trends, provides root • Proficiency in MS Office
Reconciliation as to how it works. communication skills. cause analysis and executes on (excel, PowerPoint,
• Escalation handling and timely • Email and Telephone recommendations. Conducts Word)
escalation. Etiquettes technical testing and the • Exposure to
• Work on conversion and migration • Interpersonal Skills implementation of reconciliation Reconciliation platform
related projects. • Timely escalations software changes. Receives (such as TLM,
• Understanding of basic financial • Prioritization. guidance from more experienced Intellimatch etc.)
instruments like Securities, bonds, T- • Strong Analytical skills staff. • Exposure to Research
Bills etc. required. Databases (such as
• Understanding standard messaging • Time and Resource Bloomberg or IDC)
system like SWIFT is essential. management. • Exposure Data
• Experience in performance Analytical tools is an
management process is added advantage
essential

Non Custody Reconciliation - Grade K (Management)
Experience
Out of that 6-8 years experience of Team Handling is essential.
Role Summary: The individual is required to manage day-to-day activities, ensure quality and accuracy of reconciliation is maintain a high
standard. Ensure that all SLAs as agreed with key operations areas a adhered to. Oversees implementation of new reconciliation project,
Competencies
• Basics Of Accounting and • Strong verbal and written • Monitor trends, provides root cause analysis and • Proficiency in MS
Reconciliation as to how it communication skills. provide details to Senior Management. Office (excel,
works. • Email and Telephone • Ensure that all functions are running smoothly PowerPoint, Word)
• Escalation handling and timely Etiquettes without any issues on people and process side. • Exposure to
escalation. • Interpersonal Skills • Should take inputs from staff as well as stake Reconciliation
• Work on conversion and • Timely escalations holders and propose implementation of process platform (such as
migration related projects. • Prioritization. enhancement to Management. TLM, Intellimatch
• Understanding of basic • Strong Analytical skills • Conduct customer voice survey and provide results etc.)
financial instruments like required. to Senior Management. • Exposure to
Securities, bonds, T-Bills etc. • Time and Resource • Clear any audit related issues (Internal & External) Research Databases
• Understanding standard management. and give heads up to Senior Management around (such as Bloomberg
messaging system like SWIFT • Experience in critical audit observations or Findings. or IDC)
is essential. performance • Should groom and mentor people to help them • Exposure Data
management process is grow. Analytical tools is an
essential added advantage

Reconciliations
Transformation and GBS

Transformation and GBS- Grade G (IC Track)
5-7 years of total work experience preferred; experience in brokerage/banking operations preferred. Experience project
Experience handling and account setup request handling is added advantage.
Role Summary: The Individual is required to handle account setup, modification requests which are coming from various areas using
TLM. Complete daily weekly Static file upload onto TLM for new accounts within agreed SLAs with various Reconciliation Teams.
Performs in-depth analysis of various reconciliations processes. Build trends around process areas where needs improvements and
document the requirements. Clearly articulate the same to the IT teams for process enhancement implementation. Analyze Reconciliation
Exceptions trends, Error trending. Work on the data provided by Reconciliation teams for process improvements..
Competencies
• Basics Of Accounting and Reconciliation as • Strong verbal and written • Responsible for assisting in the data • Proficiency in MS
to how it works. communication skills. analysis of reconciliations. Office (excel,
• Break Identification and root cause analysis. • Strong Analytical Skills PowerPoint, Word)
• Understanding of basic financial instruments • Email and Telephone • Participates in identifying trends, • Exposure to
like Securities, bonds, T-Bills etc. Etiquettes providing root cause analysis and Reconciliation
• Understanding standard messaging system • Prioritization – Time execution on recommendations. platform (such as
like SWIFT is essential. Management for TLM, Intellimatch
• Basis understanding of computer project/task delivery. • Shadows more senior staff in etc.)
languages. • Innovation & Problem conducting technical testing and the • Exposure to
solving implementation of reconciliation Accounting Platforms
• Change management application changes/updates. (such as TLM)
• Interpersonal Skills • Exposure to
• Timely escalations Research Databases
(such as Bloomberg
or IDC)

Transformation and GBS- Grade H (IC Track)
Bachelor’s degree (Commerce preferred)Post Graduate in Business is preferred.
Qualification
Along with the Technical certification is preferred in Computer Language and Data Analytics.
Experience
Out of that project handling and delivery experience is essential.
Role Summary: Performs in-depth analysis of various reconciliations processes. Build trends around process areas where needs
improvements and document the requirements. Clearly articulate the same to the IT teams for process enhancement implementation.
Analyze Reconciliation Exceptions trends, Error trending. Work on the data provided by Reconciliation teams for process improvements..
Competencies
• Basics Of Accounting and • Strong verbal and written • Identifies trends, provides root cause • Proficiency in MS
Reconciliation as to how it works. communication skills. analysis and executes on Office (excel,
• Break Identification and root cause • Email and Telephone recommendations. Conducts PowerPoint, Word)
analysis. Etiquettes technical testing and the • Exposure to
• Understanding of basic financial • Interpersonal Skills implementation of reconciliation Reconciliation
instruments like Securities, bonds, T- • Timely escalations software changes. Receives platform (such as
Bills etc. • Prioritization – Time guidance from more experienced TLM, Intellimatch
• Understanding standard messaging Management for project/task staff. etc.)
system like SWIFT is essential. delivery. • Exposure to
• Strong Analytical skills Research Databases
required. (such as Bloomberg
• Should posses documentation or IDC)
skills from Project stand point. • Exposure Data
• Should work as intermediary Analytical tools is an
between operations teams and added advantage
technology teams.

Transformation and GBS- Grade I (IC Track)
Experience Out of that 4-5 years experience of project Handling and Dekivery is essential. Project documentation experience
should be essential.
Role Summary: Performs in-depth analysis of various reconciliations processes. Build trends around process areas where needs
improvements and document the requirements. Clearly articulate the same to the IT teams for process enhancement implementation.
Analyze Reconciliation Exceptions trends, Error trending. Work on the data provided by Reconciliation teams for process improvements.
Provide periodic update to Reconciliation Managers on the on-going projects with clear delivery dates. Assist team members on any
project related queries.
Competencies
• Basics Of Accounting and Reconciliation as • Strong verbal and written • Identifies trends, provides root cause • Proficiency in MS
to how it works. communication skills. analysis and executes on Office (excel,
• process analysis and time study on process. • Email and Telephone recommendations. Conducts PowerPoint, Word)
• Work on system migration related projects Etiquettes technical testing and the • Exposure to
and process enhancement related projects. • Interpersonal Skills implementation of reconciliation Reconciliation
• Understanding of basic financial instruments • Timely Prioritization of software changes. Receives platform (such as
like Securities, bonds, T-Bills etc. process enhancements. guidance from more experienced TLM, Intellimatch
• Understanding standard messaging system • Presentation skills are staff. etc.)
like SWIFT is essential. essential. • Exposure to
• Strong Analytical skills Research Databases
required. (such as Bloomberg
or IDC)
• Exposure Data
Analytical tools is an
added advantage

Transformation and GBS- Grade J (IC Track)
Out of that 4-5 years experience of project Handling and Dekivery is essential. Project documentation experience
Experience should be essential.
Should be able to meet the project delivery deadlines and track the status. Good communication and co-ordination
skills are essential
Role Summary: Oversee all the ongoing projects within team and track progress for the same. Work closely with the Reconciliation
Managers to get the requirements around process enhancements and build documentation around project timelines. Provide periodic
update to Reconciliation Managers on the on-going projects with clear delivery dates. Groom and motivate staff maximizing their individual
contribution.
Competencies
• Basics Of Accounting and Reconciliation as • Strong verbal and written • Identifies trends, provides root cause • Proficiency in MS
to how it works. communication skills. analysis and executes on Office (excel,
• Escalation handling and timely escalation of • Email and Telephone recommendations. Conducts PowerPoint, Word)
Project related issues. Etiquettes technical testing and the • Exposure to
• Work on conversion and migration related • Interpersonal Skills implementation of reconciliation Reconciliation
projects. • Timely escalations software changes. Receives platform (such as
• Understanding of basic financial instruments • Prioritization. guidance from more experienced TLM, Intellimatch
like Securities, bonds, T-Bills etc. • Strong Analytical skills staff. etc.)
• Understanding standard messaging system required. • Exposure to
like SWIFT is essential. • Time and Resource Research Databases
management. (such as Bloomberg
• Experience in or IDC)
performance • Exposure Data
management process is Analytical tools is an
essential added advantage

Securities Data Management

Click here for
Learning Pathway
Securities Data Management Overview
SDM Operations offers a ‘One point shop’ within BNY Mellon for Asset Price Validation, Indicative data, and Events validation
support. Teams in Pune support Mutual/ETF fund accounting, Institutional Accounting & AIS accounting teams across different
locations.
Security Reference File :
• Security Reference Data team provides accurate and timely security master file updates for the various accounting platforms all asset servicing and AIS
lines of business. Major responsibilities include
‒ creation of new securities and performing maintenance on existing securities across applicable platform
‒ researching and addressing any security master inquiries from Client Accounting & Reporting Services or other internal department representatives.
Pricing:
• SDM Pricing teams provides accurate & timely Prices & FX rates for all assets held in mutual funds, hedge funds, exchange traded funds, alternative
investment, institutional and custody clients on various accounting platforms. SDM Pricing utilizes third party sources for pricing data (example vendors;
Interactive Data, Bloomberg, Telekurs, Euroclear, Brokers, etc.) as required by the client. Major responsibilities include:
‒ Obtaining pricing information from multiple vendors for intraday and overnight/monthly pricing for several platforms within BNY Mellon,
‒ Obtaining pricing data from brokers and counterparties, as requested by the fund Manager
‒ Obtaining of pricing data from the Fund Manager
‒ researching and validating security pricing exceptions for missing, stale, or variance issues (prices outside established tolerance levels),
‒ researching and responding to price challenges
‒ Where necessary, reporting of issues to clients, through Relationship Managers
‒ Provision of standard reports to Fund Manager as outlined in SLA
Corporate Actions:
• Corporate Actions Team is responsible for all corporate actions services across the Mutual and Hedge Fund Accounting lines of business. Each day,
CA Utility receives corporate actions data files from multiple vendors such as Standard and Poor's, Interactive Data, Exchange Data International and
Telekurs, as well as from BNY Mellon and non-affiliated custodial banks. The CA Utility verifies corporate action terms against a second, and
sometimes a third, source to verify the accuracy of data.
• SDM Corporate Actions teams are subdivided into groups as follows:
‒ Administering various vendor generated and internal cash dividend reports; Identifying and Validating the securities where cash dividends are going
ex and finally applying the cash dividends on the Accounting Platform & notifying Fund Accounting groups of the same. The team is also responsible
for providing vendor back-ups for Cash Dividend Exception reports for IAX and Eagle Accounting platforms.
‒ Corporate Events - GEI (Global Events Information): The team is responsible for administering various Corporate Event reporting functions;
Advising the onshore teams of any corporate action events, both voluntary and mandatory that are retrieved from these reports and finally
Validating, investigating and creating packages for the onshore teams.

Securities Data Management - Career Matrix
Lead Manager, Lead Manager, Lead Manager,

(K-Management) (K-Management) (K-Management)
(PM Role) (PM Role) (PM Role)
Manager, Manager, Manager,
(J-Management) (J-Management) (J-Management)
Team Lead, Team Lead, Team Lead,
(I-Support) (I-Support) (I-Support)
Job Complexity
Senior Analyst Senior Analyst Senior Analyst

H – IC H – IC H – IC
(IC Role) (IC Role) (IC Role)
Analyst Analyst Analyst
G – IC G – IC G – IC
(IC Role) (IC Role) (IC Role)
Intermediate Intermediate Intermediate
Representative, Representative, Representative,
(F-Support) (F-Support) (F-Support)
(E-Support) (E-Support) (E-Support)
Security Master File Pricing Corporate Actions
Legen
d

Navigation
Functional

Cross


SDM Global Job Code Family

70123 Ld Mgr, DataMgmtQuantAnalysis Management
70129 InterRep,DataMgtQuantAnalysis Support
70125 Specialist,DataMgtQntAnalysis Idividual Contributor
70130 Rep, DataMgmtQuantAnalysis Support
70128 Analyst,DataMgmtQuantAnalysis Idividual Contributor
70176 Grp Mgr, General Management Management
70657 Team Ld,DataMgmtQuantAnalysis Support
70127 SrAnalyst,DataMgtQuantAnalysis Idividual Contributor
70106 Analyst, Client Service Idividual Contributor
70127 SrAnalyst,DtaMgtQuantAnalysis Idividual Contributor
70655 Sr Rep, DataMgmtQuantAnalysis Support
70656 Ld Rep, DataMgmtQuantAnalysis Support
70126 LdAnalyst,DataMgmtQntAnalysis Idividual Contributor
70654 Mgr, DataMgmtQuantAnalysis Management
70122 GrpMgr, DataMgmtQuantAnalysis Management
70455 Sr. Rep, Corporate Actions Support
70453 Team Lead, Corporate Actions Support
70597 Rep, Tax Reporting Compl Support
70121 SrGrpMgr,DtaMgmtQuantAnalysis Management
70589 Mgr, TaxReportingCompliance Management
70596 Inter. Rep, TaxReportingCompl Support
70124 SrSpecialist,DataMgtQtAnalysis Idividual Contributor
70693 Princ, DataMgmt&QuanAnalysis Idividual Contributor
70253 LdAnalyst,BusProcImprv/BstPrac Idividual Contributor
76002 Sr Administrative Assistant TBC
70456 Inter. Rep, Corporate Actions Support
70255 Analyst, BusProcImprv/BestPrac Individual Contributor
70446 Group Mgr, Corporate Actions Management

Growth Matrix :
Pricing
Security Master Intermediate Corporate
File Representative, Actions
Intermediate (F-Support) Intermediate
Security Master
Corporate
Pricing File Action
Representative, Representative Representative,
(E-Support)

SDM - Cross Functional Career Matrix
Instructions
Processes under SDM

CT & CT Analytics -Analytics CT & CT Analytics -Analytics with similar nature of work
DSD -OTC Pricing/Data DSD -OTC Pricing/Data Click on each process for
Management/Quant Analysis Management/Quant Analysis
further details
Click on “SDM” in cross-

Security Master functional Navigation to come
Pricing
File back to this page
Corporate
Actions
DSD - Corporate Actions
Portfolio Services

Security Master Set Up - Grade E (Support track)
Qualification Bachelor’s degree (Commerce preferred).
0-2 years of total work experience preferred; experience in brokerage/banking or non-technical operations.
Experience
Experience in financial services processing preferred.
Role Summary: The individual is expected to support day-to-day data management activities with moderate guidance. He/she needs to
perform daily processing activities, participate in identifying and documenting violations, exceptions, or occurrences exceeding tolerance
thresholds for SDM team. He/she is required to add and maintains data on the Bank's systems, input and verify accuracy of information.
He/she need to research internal or external client requests. He/she needs to follow procedures and workflows rigorously in order to
perform day-to-day activities. Needs to work under guidance of senior team member or TL/Manager.
Competencies
• Basic knowledge of Capital market, Accounting or Securities • Average verbal and • Proficiency in MS
markets written communication Office (outlook &
• Golden Rules of accounting; understanding of Journal skills excel in
/Ledger • Email and Telephone particular)
• Understanding of Bank reconciliations (BRS); Ability to read Etiquettes
ledger and Financial statements. • Analysis Skills
• Product knowledge - Understanding of Equities, Debts, • Team Player
Derivatives etc.
• Trade Lifecycle

Security Master Set Up - Grade F (Support track)
Qualification Bachelor’s degree (Commerce preferred)Post Graduate in Business is an added advantage
Experience 2-3 years of total work experience preferred. Experience in the financial industry preferred
Role Summary: Individual needs to supports day-to-day data management activities with minimal guidance. He/she needs to perform
daily processing activities, participate in identifying and documenting violations, exceptions, or occurrences exceeding tolerance
thresholds for SDM. He/she is required to add and maintains data on the Bank's systems, input and verify accuracy of information.
He/She is expected to perform quality check meticulously. He / She might require testing software enhancements and upgrades as
necessary. He/she needs to follow procedures and workflows rigorously in order to perform day-to-day activities. Needs to work under
guidance of senior team member or TL/Manager. He/She is required to provide information based on data-related questions from internal
and external clients and might need assistance in providing solutions. He/ She need to ensure that all customer responses are thoroughly
documented and verified. There are no direct reports however he/she may provide guidance to more junior roles.
Competencies
• Basic knowledge of Capital market, Financial Services & • Strong verbal and written • Developing • Proficiency in MS
Fund Accounting communication skills Partnerships Office (excel in
• Product knowledge & valuations of various products- • Client Orientation/ Focus • Be accountable particular)
Understanding of Equities, Debts, Derivatives, Dividend, • Email and Telephone • Innovation • Exposure to
Interest, Yields & Expenses Etiquettes Custody
• Golden Rules of accounting; Understanding of Bank • Analysis Skills /Accounting
reconciliations (BRS) • Prioritization – Time Platforms
• Ability to interpret indicative data for different vendor sources Management • Exposure to
• Trade Lifecycle • Innovation & Problem Vendor
• Trouble shooting on issues & understanding of trade flow solving Databases (such
• Timely escalations as Bloomberg or
• Team Player IDC)

Security Master Set Up - Grade G (IC track)
Experience 3 - 5 years of total work experience preferred; experience in brokerage/banking/ Securities operations preferred
Competencies
• Basics of Accounting & Life cycle of trade • Excellent verbal and written • Ensures • Proficiency in MS
• Identification of Complex Break or issues and Resolution communication skills Accountability - Office (excel in
- Root cause & downstream Impact • Email and Telephone Etiquettes Takes particular)
• Product knowledge & valuations of various products • Analysis Skills ownership of • Exposure to
• Understanding of security setups and security specific • Prioritization – Time the funds Accounting Platforms
nuances & process flow Management • Drives Results • Exposure to Research
• Knowledge of the application architecture • Innovation & Problem solving • Builds Databases (such as
• Reviews information entered by more junior team • Change management Effective Bloomberg or IDC)
members. • Interpersonal Skills Teams • Vendor feeds and its
• Test software enhancements and upgrades as • Timely escalations • Developing transfer methodology
necessary. • Knowledge in SQL is preferred. Partnerships • Knowledge of SQL &
• Ability to analyze indicative data for different vendor • Record management policy VBA preferred
sources & Ability to work on large data set and analyze • Regulatory awareness
system requirements
• Understanding on Business Change Mgt

Security Master Set Up - Grade H (IC track)
Role Summary: Individual needs to supports day-to-day data management. He/she needs to participate in identifying and documenting
violations, exceptions, or occurrences exceeding tolerance thresholds for SDM. He/She is expected to perform quality check
meticulously. Expected to contribute as a leader on resolving complex queries and escalations from internal and external clients. He/She
need to ensure that all customer responses are thoroughly documented and verified and be accountable as first point of escalation.
He/She needs to periodically brain storm with the team and come–up with Process improvement ideas and needs to work with TLs for
implementation. Periodically or on-demand he/ she should have a defined process to extract or report MIS / STATs. He /She is expected
to concur procedures or process related docs. on timely manner & needs to ensure all implemented controls & Record mgt. procedures
are being followed by junior staffs. He / She would be acting as training lead for the team. Additionally would be Taking lead on
documenting and updating procedure, educating junior staffs & escalate sr. management about Regulatory change and its impact.
He/She would be responsible for escalating or communicating IT related to issues with respective application support group. He/She is
expected to understand internal/external audit, their requirements and participate in audits if required. On behalf of or in absence of TL,
he/s he needs to conduct Team meeting, Daily huddles, cascade process updates and perform Queue - checklist monitoring.
Competencies
• Basics of Accounting & Life cycle of trade • Excellent verbal and written • Ensures • Proficiency in MS
• Identification of Complex Break or issues and Resolution - communication skills Accountability Office (excel in
Root cause & downstream Impact • Email and Telephone Etiquettes - Takes particular)
• Product knowledge & valuations of various products • Analysis Skills ownership of • Exposure to
• Understanding of security setups and security specific • Prioritization – Time the funds Accounting
nuances & process flow Management • Drives Platforms
• Knowledge of the application architecture • Innovation & Problem solving Results • Exposure to
• Reviews information entered by more junior team • Change management • Builds Research Databases
members. • Interpersonal Skills Effective (such as Bloomberg
• Test software enhancements and upgrades as necessary. • Timely escalations Teams or IDC)
• Ability to analyze indicative data for different vendor • Knowledge in SQL is preferred. • Developing • Vendor feeds and its
sources & Ability to work on large data set and analyze • Record management policy Partnerships transfer methodology
system requirements • Regulatory awareness • Knowledge of SQL &
• Understanding on Business Change Mgt VBA preferred

Security Master Set Up - Grade I (PM track)
Bachelor’s degree (Commerce preferred) Post Graduate in Business or the equivalent combination of education and
Qualification
experience is required
5-7 years of total work experience with at least 0-2 years in management preferred; experience in brokerage/banking
Experience
operations preferred.
Role Summary: Individual needs to manage day-to-day data management activities effectively. He/She need to understand and implement
processes and may provide recommendations to increase efficiencies and improve processes. He/She is expected to respond back to data-
related questions from internal and external clients and help to provide solutions. He / She need to ensure that all customer responses are
thoroughly documented and verified. He/She would Serve as a work coordinator for the team and would also be responsible for specific
supervisory review and approval actions. He/She needs to be a leader on resolving complex queries and escalations and be accountable as
first point to escalation. He/She would be responsible for escalating or communicating IT related to issues with respective application support
group. He /She is expected to concur procedures or process related docs. on timely manner & needs to ensure all implemented controls &
Record mgt. procedures are being followed by junior staffs. He/She need to make sure that the process documents & Procedures are in
acquiescence to internal/external audits, ensuring all policies and regulations followed by team. He/ She need to take active participation in
establishing operating procedures for the unit and ensure that the procedures align with the goals and objectives for the area. Actively
participates in Recruitment process. directs, motivates and develops staff, maximizing their individual contribution, their professional growth
and their ability to function effectively with their colleagues as a team. Responsible for the supervision of team members and coordination of
resources.
Competencies
• Basics of Accounting & Life cycle of trade • Strong verbal and written • People management skill. - • Proficiency in MS
• Identification of Complex Break or issues and Resolution - communication skills Work allocation, Leave planning Office (excel in
Root cause & downstream Impact • Email and Telephone & etc. particular)
• Product knowledge & valuations of various products Etiquettes • Ensures Accountability - Takes • Exposure to
• Understanding of security setups and security specific • Analysis Skills ownership of the process Accounting Platforms
nuances & process flow • Prioritization – Time • Drives Results • Exposure to
• Knowledge of the application architecture Management • Builds Effective Teams Research Databases
• Reviews information entered by more junior team members. • Innovation & Problem • Relationship Building & (such as Bloomberg
• Test software enhancements and upgrades as necessary. solving Collaboration or IDC)
• Ability to analyze indicative data for different vendor sources • Interpersonal Skills • Builds Effective Teams- • Vendor feeds and its
& Ability to work on large data set and analyze system • Timely escalations Develops Talent by Assessing transfer methodology
requirements • Expectation Management & Addressing training needs for • Knowledge of SQL &
• Understanding on Business Change Mgt. • Stakeholder Management the team. VBA – Preferred
• Drive Innovation

Security Master Set Up - Grade J (PM track)
Qualification
experience is required.
Experience
Fund Accounting Domain is preferred.
Role Summary: Individual needs to manage day-to-day data management activities ensuring quality and accuracy of all work produced and
delivered. He/She need to understand overall processes and need to provide recommendations to increase efficiencies and improve
processes. He/She is expected to oversee the implementation of new data related technology enhancements / implementations. Also, ensure
staff is in compliance with the Bank's standards and best practices. Actively participates in Recruitment process, directs, motivates and
develops staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a
team. He/She is expected to have through understanding on Business Change Management & needs to work on large data set provide
meaningful analysis for MIS. Responsible for the supervision of team members and coordination of resources. He/She needs to facilitate
analysis of client and business needs and manages related documentation. Ensures business requirements are executed as expected.
Establishes operating procedures for the unit and ensures that the procedures align with the goals and objectives for the area. Actively
participates in Recruitment process, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and
their ability to function effectively with their colleagues as a team.
Competencies
• Knowledge of Financial Services and Accounting activities • Strong verbal and • People management skill. - • Proficiency in MS
is required. Skill to interpret Complex Break or issues and written communication Work allocation, Leave Office (excel in
Resolution - Root cause & downstream Impact. process skills planning & etc. particular)
flow knowledge. • Email and Telephone • Ensures Accountability - • Exposure to
• Knowledge of the application architecture Etiquettes Takes ownership of the Accounting
• Reviews information entered by more junior team • Analysis Skills process Platforms
members. • Prioritization – Time • Drives Results • Exposure to
• Test software enhancements and upgrades as necessary. Management • Builds Effective Teams Research
• Ability to analyze indicative data for different vendor • Innovation & Problem • Relationship Building & Databases (such as
sources & Ability to work on large data set and analyze solving Collaboration Bloomberg or IDC)
system requirements • Interpersonal Skills • Builds Effective Teams- • Vendor feeds and its
• Understanding on Business Change Mgt. & Ability to work • Timely escalations Develops Talent by transfer
on large data set and analyze system requirements • Expectation Assessing & Addressing methodology
• Ability to manage complex issue of people and resolve. Management training needs for the team. • Knowledge of SQL &
Ability to enhance the process from efficiency point of view • Stakeholder • Drive Innovation VBA – Preferred
Management

Security Master Set Up - Grade K (PM track)
Bachelor’s degree (Commerce preferred) Post Graduate in Business or the equivalent combination of education and experience is
Qualification
required.
7-8 years of total work experience with at least 3-5 years in management preferred. Experience in financial services or Fund Accounting
Experience
Domain is preferred.
Role Summary: Individual needs to manage day-to-day data management activities ensuring quality and accuracy of all work produced and delivered. He/She
need to understand overall processes and need to provide recommendations to increase efficiencies and improve processes. He/She is expected to oversee
the implementation of new data related technology enhancements / implementations. Also, ensure staff is in compliance with the Bank's standards and best
practices. Actively participates in Recruitment process, directs, motivates and develops staff, maximizing their individual contribution, their professional growth
and their ability to function effectively with their colleagues as a team. He/She is expected to have through understanding on Business Change Management &
needs to work on large data set provide meaningful analysis for MIS. He/She is expected to anticipate client needs and provide services that are beyond
customer expectations. He/She needs to manage complex issue of people and resolve. Able to bring enhancements to the process using various avenues like
Six Sigma, Lean methodologies. He/She should be able to drive efficiencies across locations by collaborating with the key stakeholders in other locations.
He/She should exhibit strong Stakeholder Management skills and possess awareness of the market regulations / organization policies and regulatory changes
that can impact the function
Competencies
• Knowledge of Financial Services and Accounting activities is required. • Strong verbal and • Strong People • Proficiency in MS
• Ability to analyze indicative data for different vendor sources & Ability to work on large written management skills Office (excel in
data set and analyze system requirements communication skills • Ensures particular)
• Understanding on Business Change Mgt. & Ability to work on large data set and • Email and Accountability - Takes • Exposure to
analyze system requirements Telephone ownership of the Accounting
• Ability to manage complex issue of people and resolve. Ability to bring enhancements Etiquettes process Platforms
to the process using various avenues like Six Sigma, Lean methodologies. • Analysis Skills • Drives Results • Exposure to
• Anticipates client needs and provides services that are beyond customer expectations. • Prioritization – Time • Builds Effective Research
• Able to drive efficiencies across locations by collaborating with the key stakeholders in Management Teams Databases (such
other locations • Innovation & • Developing as Bloomberg or
• Possess awareness of the market regulations / organization policies and regulatory Problem solving Partnerships IDC)
changes that can impact the function • Interpersonal Skills • Develops Talent by • Vendor feeds and
• Able to think out of the box and come up with innovative ways of bringing in • Timely escalations Assessing & its transfer
efficiencies by automation or optimization • Expectation Addressing training methodology
• Able to lead and chair meetings / discussions with various stakeholders / locations Management needs for the team. • Knowledge of
• Able to have difficult conversation and discussion's, where required • Stakeholder • Relationship Building SQL & VBA –
• Able to take up complex assignments and contribute to its success Management & Collaboration Preferred
• Ability to think strategically • Build stronger control
• Strong Stakeholder Management skills environment
• Ability to Connect the dots • Drive Innovation

Global Accounting Market Event Team (Corporate Actions)- Grade E (Support track)
Experience
Competencies
• Basic knowledge of Capital market, Accounting or Securities markets • Average verbal • Proficiency in
Golden Rules of accounting; all kind of corporate actions and written MS Office
• Product knowledge - Understanding of Equities, Debts, Derivatives communication (outlook & excel
etc. Trade Lifecycle and corporate action impact on equities and book skills in particular)
value • Email and
Telephone
Etiquettes and
• Team Player

Global Accounting Market Event Team (Corporate Actions)- Grade F (Support track)
Experience
preferred.
Competencies
• Basic knowledge of Capital market, Accounting or Securities • Strong verbal and • Developing • Proficiency in MS
markets Golden Rules of accounting; all kind of corporate actions written communication Partnerships, Office (excel in
• Product knowledge - Understanding of Equities, Debts, Derivatives skills • Be accountable particular)
etc. Trade Lifecycle and corporate action impact on equities and • Client Orientation/ • Innovation • Exposure to Custody
book value. Ability to interpret indicative data for different vendor Focus /Accounting
sources and ability to correlate information available for various • Email and Telephone Platforms
events Etiquettes • Exposure to Vendor
• Analysis Skills Databases (such as
• Prioritization – Time Bloomberg or IDC)
Management
solving
• Team Player

Global Accounting Market Event Team (Corporate Actions)- Grade G (IC track)
Experience
preferred.
Role Summary: Individual needs to supports day-to-day data management activities. He/she needs to participate in identifying and
documenting violations, exceptions, or occurrences exceeding tolerance thresholds for SDM. He/She is expected to perform quality
check meticulously. Expected to contribute as a leader on resolving complex queries and escalations from internal and external clients.
He/She need to ensure that all customer responses are thoroughly documented and verified and be accountable as first point of
escalation. He/She needs to periodically brain storm with the team and come–up with Process improvement ideas and needs to work with
TLs for implementation. He /She is expected to concur procedures or process related docs. on timely manner & needs to ensure all
implemented controls & Record mgt. procedures are being followed by junior staffs. He / She would be acting as training lead for the
team. Additionally would be Taking lead on documenting and updating procedure, educating junior staffs & escalate sr. management
about Regulatory change and its impact. He/She is expected to understand internal/external audit, their requirements and participate in
audits if required. On behalf of or in absence of TL, he/s he needs to conduct Team meeting, Daily huddles, cascade process updates
and perform Queue - checklist monitoring.
Competencies
• Good Knowledge of Accounting & Corporate actions • Excellent verbal and written • Ensures • Proficiency in MS
• Skill to interpret Complex Break or issues and communication skills Accountability Office (excel in
Resolution - Root cause & downstream Impact. process • Email and Telephone Etiquettes - Takes particular)
flow knowledge. • Analysis Skills ownership of • Exposure to
• Knowledge of the application architecture • Prioritization – Time Management the funds Accounting Platforms
• Reviews information entered by more junior team • Innovation & Problem solving • Drives Results • Exposure to
members. • Change management • Builds Accounting Platforms
• Test software enhancements and upgrades as • Interpersonal Skills Effective • Exposure to Research
necessary. • Timely escalations Teams Databases (such as
• Ability to analyze indicative data for different vendor • Knowledge in SQL is preferred. • Developing Bloomberg or IDC)
sources & Ability to work on large data set and analyze • Record management policy Partnerships • Vendor feeds and its
system requirements • Regulatory awareness transfer methodology
• Understanding on Business Change Mgt

Global Accounting Market Event Team (Corporate Actions)- Grade H (IC track)
Experience
preferred.
violations, exceptions, or occurrences exceeding tolerance thresholds for SDM. He/She is expected to perform quality check
meticulously. Expected to contribute as a leader on resolving complex queries and escalations from internal and external clients. He/She
need to ensure that all customer responses are thoroughly documented and verified and be accountable as first point of escalation.
He/She needs to periodically brain storm with the team and come–up with Process improvement ideas and needs to work with TLs for
implementation. Periodically or on-demand he/ she should have a defined process to extract or report MIS / STATs. He /She is expected
to concur procedures or process related docs. on timely manner & needs to ensure all implemented controls & Record mgt. procedures
are being followed by junior staffs. He / She would be acting as training lead for the team. Additionally would be Taking lead on
documenting and updating procedure, educating junior staffs & escalate sr. management about Regulatory change and its impact.
He/She would be responsible for escalating or communicating IT related to issues with respective application support group. He/She is
expected to understand internal/external audit, their requirements and participate in audits if required. On behalf of or in absence of TL,
he/s he needs to conduct Team meeting, Daily huddles, cascade process updates and perform Queue - checklist monitoring.
Competencies
• Good Knowledge of Accounting & Corporate actions • Excellent verbal and written • Ensures • Proficiency in MS Office
• Skill to interpret Complex Break or issues and Resolution - communication skills Accountability (excel in particular)
Root cause & downstream Impact. process flow • Email and Telephone - Takes • Exposure to Accounting
knowledge. Etiquettes ownership of Platforms
• Knowledge of the application architecture • Analysis Skills the funds • Exposure to Accounting
• Reviews information entered by more junior team • Prioritization – Time • Drives Platforms (such as TLM)
members. Management Results • Exposure to Research
• Test software enhancements and upgrades as necessary. • Innovation & Problem solving • Builds Databases (such as
• Ability to analyze indicative data for different vendor • Change management Effective Bloomberg or IDC)
sources & Ability to work on large data set and analyze • Interpersonal Skills Teams • Vendor feeds and its
system requirements • Timely escalations • Developing transfer methodology
• Understanding on Business Change Mgt. & Ability to work • Knowledge in SQL is preferred. Partnerships • Knowledge of SQL &
on large data set and analyze system requirements • Record management policy VBA
• Understanding on Business Change Mgt. • Regulatory awareness

Global Accounting Market Event Team (Corporate Actions)- Grade I (PM track)
Qualification
required.
5-7 years of total work experience with at least 0-2 years in management preferred; Experience in financial services or corporate
Experience
actions preferred.
Role Summary: Individual needs to manage day-to-day data management activities effectively. He/She need to understand and implement processes
and may provide recommendations to increase efficiencies and improve processes. He/She is expected to respond back to data-related questions from
internal and external clients and help to provide solutions. He / She need to ensure that all customer responses are thoroughly documented and verified.
He/She would Serve as a work coordinator for the team and would also be responsible for specific supervisory review and approval actions. He/She
needs to be a leader on resolving complex queries and escalations and be accountable as first point to escalation. He/She would be responsible for
escalating or communicating IT related to issues with respective application support group. He /She is expected to concur procedures or process
related docs. on timely manner & needs to ensure all implemented controls & Record mgt. procedures are being followed by junior staffs. He /She need
to make sure that the process documents & Procedures are in acquiescence to internal/external audits, ensuring all policies and regulations followed by
team. He/ She need to take active participation in establishing operating procedures for the unit and ensure that the procedures align with the goals and
objectives for the area. Actively participates in Recruitment process. directs, motivates and develops staff, maximizing their individual contribution, their
professional growth and their ability to function effectively with their colleagues as a team. Responsible for the supervision of team members and
coordination of resources.
Competencies
• Good Knowledge of Accounting & Corporate actions • Strong verbal and written • People management skill. • Proficiency in MS Office
• Skill to interpret Complex Break or issues and Resolution communication skills - Work allocation, Leave (excel in particular)
- Root cause & downstream Impact. process flow • Email and Telephone planning & etc. • Exposure to Accounting
knowledge. Etiquettes • Ensures Accountability - Platforms
• Knowledge of the application architecture • Analysis Skills Takes ownership of the • Exposure to Research
• Reviews information entered by more junior team • Prioritization – Time process Databases (such as
members. Management • Drives Results Bloomberg or IDC)
• Test software enhancements and upgrades as • Innovation & Problem solving • Builds Effective Teams • Vendor feeds and its
necessary. • Interpersonal Skills • Relationship Building & transfer methodology
• Ability to analyze indicative data for different vendor • Timely escalations Collaboration • Knowledge of SQL & VBA
sources & Ability to work on large data set and analyze • Expectation Management • Builds Effective Teams- – Preferred
system requirements • Stakeholder Management Develops Talent by
• Understanding on Business Change Mgt. & Ability to Assessing & Addressing
work on large data set and analyze system requirements training needs for the
• Understanding on Business Change Mgt. Ability to team.
manage complex issue of people and resolve • Drive Innovation

Global Accounting Market Event Team (Corporate Actions)- Grade J(PM track)
Qualification
Experience
Competencies
• Complete Knowledge of Accounting & Corporate actions • Strong verbal and • People management skill. - • Proficiency in MS
• Skill to interpret Complex Break or issues and Resolution - written communication Work allocation, Leave Office (excel in
Root cause & downstream Impact. process flow skills planning & etc. particular)
knowledge. • Email and Telephone • Ensures Accountability - Takes • Exposure to
• Knowledge of the application architecture Etiquettes ownership of the process Accounting Platforms
• Reviews information entered by more junior team • Analysis Skills • Drives Results • Exposure to
members. • Prioritization – Time • Builds Effective Teams Accounting Platforms
• Test software enhancements and upgrades as necessary. Management • Developing Partnerships (such as TLM)
• Ability to analyze indicative data for different vendor • Innovation & Problem • Relationship Building & • Exposure to
sources & Ability to work on large data set and analyze solving Collaboration Research Databases
system requirements • Interpersonal Skills • Builds Effective Teams- (such as Bloomberg
• Understanding on Business Change Mgt. & Ability to work • Timely escalations Develops Talent by Assessing or IDC)
on large data set and analyze system requirements • Expectation & Addressing training needs • Vendor feeds and its
• Understanding on Business Change Mgt. Ability to Management for the team. transfer methodology
manage complex issue of people and resolve. Ability to • Stakeholder • Build stronger control • Knowledge of SQL &
enhance the process from efficiency point of view Management environment VBA - Preferred

Global Accounting Market Event Team (Corporate Actions)- Grade K(PM track)
Qualification
required.
Experience
that can impact the function.
Competencies
• Knowledge of Financial Services and Accounting activities is required. • Strong verbal and • People management • Proficiency in MS
• Ability to analyze indicative data for different vendor sources & Ability to work on large written skill. - Work allocation, Office (excel in
data set and analyze system requirements communication skills Leave planning & etc. particular)
• Understanding on Business Change Mgt & Ability to work on large data set and • Email and • Ensures Accountability - • Exposure to
analyze system requirements Telephone Takes ownership of the Accounting
• Ability to manage complex issue of people and resolve. Ability to bring enhancements Etiquettes process Platforms
to the process using various avenues like Six Sigma, Lean methodologies. • Analysis Skills • Drives Results • Exposure to
• Anticipates client needs and provides services that are beyond customer expectations. • Prioritization – Time • Builds Effective Teams Research
• Able to drive efficiencies across locations by collaborating with the key stakeholders in Management • Developing Partnerships Databases (such
other locations • Innovation & • Relationship Building & as Bloomberg or
• Possess awareness of the market regulations / organization policies and regulatory Problem solving Collaboration IDC)
changes that can impact the function • Interpersonal Skills • Builds Effective Teams- • Vendor feeds
• Able to think out of the box and come up with innovative ways of bringing in • Timely escalations Develops Talent by and its transfer
efficiencies by automation or optimization • Expectation Assessing & Addressing methodology
• Able to lead and chair meetings / discussions with various stakeholders / locations Management training needs for the • Knowledge of
• Able to have difficult conversation and discussion's, where required • Stakeholder team. SQL & VBA –
• Able to take up complex assignments and contribute to its success Management • Build stronger control Preferred
• Ability to think strategically environment
• Strong Stakeholder Management skills • Drive Innovation
• Ability to Connect the dots

Pricing - Grade E (Support track)
Experience
Competencies
• Basic knowledge of Capital market, Financial Services & Fund • Average verbal and • Proficiency in
Accounting written communication MS Office
• Product knowledge & valuations of various products- skills (outlook &
Understanding of Equities, Debts, Derivatives, Dividend, Interest, • Email and Telephone excel in
Yields & Expenses Etiquettes particular)
• Golden Rules of accounting; Understanding of Bank • Analysis Skills
reconciliations (BRS) • Team Player
• Ability to interpret indicative data for different vendor sources
• Trade Lifecycle
• Trouble shooting on issues & understanding of trade flow

Pricing - Grade F (Support track)
Experience 2-3 years of total work experience preferred. Experience in the financial industry preferred.
Competencies
• Basic knowledge of Capital market, Financial Services & Fund • Strong verbal and written • Developing • Proficiency in
Accounting communication skills Partnerships MS Office
• Product knowledge & valuations of various products- • Client Orientation/ Focus • Be accountable (excel in
Understanding of Equities, Debts, Derivatives, Dividend, • Email and Telephone • Innovation particular)
Interest, Yields & Expenses Etiquettes • Exposure to
• Golden Rules of accounting; Understanding of Bank • Analysis Skills Custody
reconciliations (BRS) • Prioritization – Time /Accounting
• Ability to interpret indicative data for different vendor sources Management Platforms
• Trade Lifecycle • Innovation & Problem • Exposure to
• Trouble shooting on issues & understanding of trade flow solving Vendor
• Timely escalations Databases
• Team Player (such as
Bloomberg or
IDC)

Pricing - Grade G (IC track)
Role Summary: Individual needs to supports day-to-day data management activities. He/she needs to participate in identifying and
documenting violations, exceptions, or occurrences exceeding tolerance thresholds for SDM. He/She is expected to perform quality
check meticulously. Expected to contribute as a leader on resolving complex queries and escalations from internal and external clients.
He/She need to ensure that all customer responses are thoroughly documented and verified and be accountable as first point of
escalation. He/She needs to periodically brain storm with the team and come–up with Process improvement ideas and needs to work with
TLs for implementation. He /She is expected to concur procedures or process related docs. on timely manner & needs to ensure all
implemented controls & Record mgt. procedures are being followed by junior staffs. He / She would be acting as training lead for the
team. Additionally would be Taking lead on documenting and updating procedure, educating junior staffs & escalate sr. management
about Regulatory change and its impact. He/She is expected to understand internal/external audit, their requirements and participate in
audits if required. On behalf of or in absence of TL, he/s he needs to conduct Team meeting, Daily huddles, cascade process updates
and perform Queue - checklist monitoring.
Competencies
• Basics of Accounting & Life cycle of trade • Excellent verbal and written • Ensures • Proficiency in MS Office
• Identification of Complex Break or issues and communication skills Accountability - (excel in particular)
Resolution - Root cause & downstream Impact • Email and Telephone Takes ownership • Exposure to Accounting
• Product knowledge & valuations of various products Etiquettes of the funds Platforms
• Understanding of security setups and security specific • Analysis Skills • Drives Results • Exposure to Accounting
nuances & process flow • Prioritization – Time • Builds Effective Platforms (such as TLM)
• Knowledge of the application architecture Management Teams • Exposure to Research
• Reviews information entered by more junior team • Innovation & Problem • Developing Databases (such as
members. solving Partnerships Bloomberg or IDC)
• Test software enhancements and upgrades as • Change management • Vendor feeds and its
necessary. • Interpersonal Skills transfer methodology
• Ability to analyze indicative data for different vendor • Timely escalations • Knowledge of SQL & VBA
sources & Ability to work on large data set and analyze • Knowledge in SQL is preferred
system requirements preferred.
• Understanding on Business Change Mgt. • Record management policy
• Regulatory awareness

Pricing - Grade H (IC track)
violations, exceptions, or occurrences exceeding tolerance thresholds for SDM. He/She is expected to perform quality check meticulously.
Expected to contribute as a leader on resolving complex queries and escalations from internal and external clients. He/She need to ensure that
all customer responses are thoroughly documented and verified and be accountable as first point of escalation. He/She needs to periodically
brain storm with the team and come–up with Process improvement ideas and needs to work with TLs for implementation. Periodically or on-
demand he/ she should have a defined process to extract or report MIS / STATs. He /She is expected to concur procedures or process related
docs. on timely manner & needs to ensure all implemented controls & Record mgt. procedures are being followed by junior staffs. He / She
would be acting as training lead for the team. Additionally would be Taking lead on documenting and updating procedure, educating junior
staffs & escalate sr. management about Regulatory change and its impact. He/She would be responsible for escalating or communicating IT
related to issues with respective application support group. He/She is expected to understand internal/external audit, their requirements and
participate in audits if required. On behalf of or in absence of TL, he/s he needs to conduct Team meeting, Daily huddles, cascade process
updates and perform Queue - checklist monitoring.
Competencies
• Basics of Accounting & Life cycle of trade • Excellent verbal and written • Ensures • Proficiency in MS Office
• Identification of Complex Break or issues and Resolution - communication skills Accountability - (excel in particular)
Root cause & downstream Impact • Email and Telephone Takes ownership of • Exposure to Accounting
• Product knowledge & valuations of various products Etiquettes the funds Platforms
• Understanding of security setups and security specific • Analysis Skills • Drives Results • Exposure to Accounting
nuances & process flow • Prioritization – Time • Builds Effective Platforms (such as TLM)
• Knowledge of the application architecture Management Teams • Exposure to Research
• Reviews information entered by more junior team • Innovation & Problem solving • Developing Databases (such as
members. • Change management Partnerships Bloomberg or IDC)
• Test software enhancements and upgrades as necessary. • Interpersonal Skills • Vendor feeds and its
• Ability to analyze indicative data for different vendor • Timely escalations transfer methodology
sources & Ability to work on large data set and analyze • Knowledge in SQL is preferred. • Knowledge of SQL &
system requirements • Record management policy VBA
• Understanding on Business Change Mgt. • Regulatory awareness

Pricing - Grade I (PM track)
Qualification
5-7 years of total work experience with at least 0-2 years in management preferred; experience in brokerage/banking
Experience
Role Summary: Individual needs to manage day-to-day data management activities effectively. He/She need to understand and implement
processes and may provide recommendations to increase efficiencies and improve processes. He/She is expected to respond back to data-related
questions from internal and external clients and help to provide solutions. He / She need to ensure that all customer responses are thoroughly
documented and verified. He/She would Serve as a work coordinator for the team and would also be responsible for specific supervisory review
and approval actions. He/She needs to be a leader on resolving complex queries and escalations and be accountable as first point to escalation.
He/She would be responsible for escalating or communicating IT related to issues with respective application support group. He /She is expected
to concur procedures or process related docs. on timely manner & needs to ensure all implemented controls & Record mgt. procedures are being
followed by junior staffs. He/She need to make sure that the process documents & Procedures are in acquiescence to internal/external audits,
ensuring all policies and regulations followed by team. He/She need to take active participation in establishing operating procedures for the unit
and ensure that the procedures align with the goals and objectives for the area. Actively participates in Recruitment process. directs, motivates
and develops staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as
a team. Responsible for the supervision of team members and coordination of resources.
Competencies
• Basics of Accounting & Life cycle of trade • Strong verbal and written • People management skill. - • Proficiency in MS
• Identification of Complex Break or issues and Resolution - communication skills Work allocation, Leave Office (excel in
Root cause & downstream Impact • Email and Telephone planning & etc. particular)
• Product knowledge & valuations of various products Etiquettes • Ensures Accountability - Takes • Exposure to
• Understanding of security setups and security specific • Analysis Skills ownership of the process Accounting
nuances & process flow • Prioritization – Time • Drives Results Platforms
• Knowledge of the application architecture Management • Builds Effective Teams • Exposure to
• Reviews information entered by more junior team • Innovation & Problem • Relationship Building & Research Databases
members. solving Collaboration (such as Bloomberg
• Test software enhancements and upgrades as necessary. • Interpersonal Skills • Builds Effective Teams- or IDC)
• Ability to analyze indicative data for different vendor • Timely escalations Develops Talent by Assessing • Vendor feeds and its
sources & Ability to work on large data set and analyze • Expectation Management & Addressing training needs transfer
system requirements • Stakeholder Management for the team. methodology
• Understanding on Business Change Mgt. • Drive Innovation • Knowledge of SQL &
VBA - Preferred

Pricing - Grade J (PM track)
Qualification
experience is required
Experience
Competencies
• Knowledge of Financial Services and Accounting activities • Strong verbal and • Strong People management • Proficiency in MS
is required. Skill to interpret Complex Break or issues and written communication skills Office (excel in
Resolution - Root cause & downstream Impact. process skills • Ensures Accountability - Takes particular)
flow knowledge. • Email and Telephone ownership of the process • Exposure to
• Knowledge of the application architecture Etiquettes • Drives Results Accounting
• Reviews information entered by more junior team • Analysis Skills • Builds Effective Teams Platforms
members. • Prioritization – Time • Developing Partnerships • Exposure to
• Test software enhancements and upgrades as necessary. Management • Develops Talent by Assessing Research Databases
• Ability to analyze indicative data for different vendor • Innovation & Problem & Addressing training needs for (such as Bloomberg
sources & Ability to work on large data set and analyze solving the team. or IDC)
system requirements • Interpersonal Skills • Relationship Building & • Vendor feeds and its
• Understanding on Business Change Mgt & Ability to work • Timely escalations Collaboration transfer
on large data set and analyze system requirements • Expectation • Build stronger control methodology
• Ability to manage complex issue of people and resolve. Management environment • Knowledge of SQL &
Ability to enhance the process from efficiency point of • Stakeholder • Drive Innovation VBA – Preferred
view Management

Pricing - Grade K (PM track)
Qualification
required.
Experience
that can impact the function.
Competencies
• Ability to analyze indicative data for different vendor sources & Ability to work on large written management skills Office (excel in
data set and analyze system requirements communication skills • Ensures particular)
• Understanding on Business Change Mgt. & Ability to work on large data set and analyze • Email and Accountability - Takes • Exposure to
system requirements Telephone ownership of the Accounting
• Ability to manage complex issue of people and resolve. Ability to bring enhancements to Etiquettes process Platforms
the process using various avenues like Six Sigma, Lean methodologies. • Analysis Skills • Drives Results • Exposure to
• Anticipates client needs and provides services that are beyond customer expectations. • Prioritization – Time • Builds Effective Research
• Able to drive efficiencies across locations by collaborating with the key stakeholders in Management Teams Databases (such
other locations • Innovation & • Developing as Bloomberg or
• Possess awareness of the market regulations / organization policies and regulatory Problem solving Partnerships IDC)
changes that can impact the function • Interpersonal Skills • Develops Talent by • Vendor feeds and
• Able to think out of the box and come up with innovative ways of bringing in efficiencies • Timely escalations Assessing & its transfer
by automation or optimization • Expectation Addressing training methodology
• Able to lead and chair meetings / discussions with various stakeholders / locations Management needs for the team. • Knowledge of
• Able to have difficult conversation and discussion's, where required • Stakeholder • Relationship Building SQL & VBA –
• Able to take up complex assignments and contribute to its success Management & Collaboration Preferred
• Ability to think strategically • Build stronger control
• Strong Stakeholder Management skills environment
• Ability to Connect the dots • Drive Innovation

Revenue &Billing Services

Revenue and Billing Services Summary Click here for
Learning Pathway
Revenue and Billing Services is a Global Center of Excellence that sets up client accounts ,generates invoices and collects fee
revenue for all Investment services provided to clients .
Services Provided:
 Account Setup & Invoice Production:
• Configure invoices, interpret and set-up fee schedules, capture market value and transaction volumes
• Produce 400K invoices annually with a value of $4.3B in revenue across 300K accounts
• Utilize three billing systems: Advantage for Asset Servicing, CAP for Treasury Services and FiRRe for Corporate
Trust &AIS.
 Payment and Revenue Accruals:

• Post revenue accruals and receive payments from clients
 Product Management:
• Support development and setup of new products and services to generate and capture revenue
Center of Excellence:
 220 staff across four locations (Brooklyn, Pittsburgh, Syracuse, & Pune)
 Businesses supported - Asset Servicing, Corporate Trust, Treasury Services, Broker Dealer Services and Global
Collateral Management
 Support U.S., EMEA, and APAC regions
Billing Data Sources:

 200+ transaction systems
 Manual capture of spreadsheets(NAT-Non Automated Templates)
 User defined technologies

Revenue and Billing Services - Career Matrix Existing Roles In India
Legend
Lead Manager, Lead Manager, Lead Manager, Lead Manager,

(K-Management) (K-Management) (K-Management) (K-Management)
(PM Role) (PM Role) (PM Role) (PM Role)
Manager, Manager,
Job Complexity
Manager,
Lead Analyst, Billing
(J-Management) (J-Management) (J-Management)
(I – PM Role)
Team Lead, Team Lead, Team Lead,

(H-Lead (H-Lead (H-Lead Sr. Analyst, Billing
Representative) Representative) Representative) (H-IC Role)
Representative, Billing Representative, Billing Representative, Billing
(F-Validator/Analyst) (IC (F-Validator/Analyst) (IC (F-Validator/Analyst) (IC
Role) Role) Role)
Representative Representative Representative
Billing, Billing, Billing,
(E-Processor) (IC (E-Processor) (IC (E-Processor) (IC
Role) Role) Role)

Navigation
Functional

Cross


Global Job Codes at a glance :
70409 Manager ,Billing Management
70661 Lead Representative, Billing Management
Senior Analyst, Billing (Production

70411 Individual Contributor
Support)
70410 Lead Analyst ,Billing (Production Support) Management
70413 Intermediate Representative, Billing Individual Contributor
70414 Representative ,Billing Individual Contributor
70408 Lead Manager, Billing Management

Growth Matrix
Intermediate
Intermediate
Representative ,
Representative,
Billing (F-
Billing (F-
Analyst)
Analyst)
Invoice
Payments
Production
Representative,
Billing Representative,
Representative,
(E-Processor)
Billing Billing
Invoice (E-Processor) (E-Processor)
Production Payments
Account Setup

Revenue and Billing Services - Cross Functional Career Matrix
CT & CT Analytics -DLM ( Client Instructions

Onboarding & Processing)
Processes under Billing

Client Activation -Account Activation

EMEA TA - Investor Services

further details
Click on “Billing” in cross-

Account Setup functional Navigation to come
Reconciliations -Transformation & CT & CT Analytics -DLM ( Client
back to this page
GBS Onboarding & Processing)
DSD -SME Production Invoice Client Activation -Account Activation

Support Production
EMEA TA - Operations Support EMEA TA - Investor Services
Payments
Treasury Services -Cash Operations
CT & CT Analytics - EMEA Ops

Representative, Billing - Grade E (IC track) Back to Career Matrix
0-2 years of total work experience preferred; experience in Accounts Payable/ Receivables or any Finance operations.
Experience
Role Summary
• With moderate guidance, supports day-to-day Billing activities like Account Setups, Invoice Production, Payments and
Recon.
• Adds and maintains data on the Billing systems, inputs and verifies accuracy of information.
• Researches internal or external client requests. May provide information based on data-related questions from internal and
external clients. Information is thoroughly checked and verified.
• Follow procedures and workflows rigorously in order to perform day-to-day activities. Work under guidance of senior team
member or TL/Manager.
• No direct reports; may provide guidance to new joiners.
Competencies

• Basic knowledge of Capital market, • Average verbal and • Proficiency in MS Office
Accounting or Billing written communication (outlook & excel in
• Basics of skills particular)
• Life cycle of trade, Billing &Accounting • Email and Telephone
Principles Etiquettes
• Interpretation of complex Fee schedules, • Analysis Skills
knowledge about validation, Risk and • Team Player
controls.

Intermediate Representative, Billing - Grade F (IC track) Back to Career Matrix
Experience 2-3 years of total work experience preferred. Experience in the financial industry preferred
Role Summary
• With minimal guidance, supports day-to-day data Billing validation activities. Monitors all the activities performed by the
Billers and validate the Billing transactions. Participates in identifying and documenting errors, exceptions, or occurrences
exceeding tolerance thresholds
• Adds and maintains data on the Billing systems, inputs and verifies accuracy of information. Reviews information entered by
team members.
• Provides information based on data-related questions from internal and external clients and may help provide solutions.
Ensures that all enquiries/escalations are thoroughly verified.
• Follow procedures and workflows rigorously in day-to-day activities, work under guidance of team lead/ manager. Should
understand the importance of internal/external audits and their requirements.
• No direct reports; may provide guidance and training to more junior roles.
Competencies

• Basic knowledge of Capital market, Accounting • Average verbal and • Proficiency in MS Office
or Billing written communication (outlook & excel in
• Basics of skills particular)
• Life cycle of trade, Billing &Accounting Principles • Email and Telephone
• Interpretation of complex Fee schedules, Etiquettes
knowledge about validation, Risk and controls. • Analysis Skills
• Team Player

Lead Representative ,Billing (Team Lead) - Grade H (PM track) Back to Career Matrix
Experience 3 - 5 years of total work experience preferred; experience in Billing, Accounts Payables/ Receivables preferred.
Role Summary
• Supports day-to-day data management activities. Identifies and documents violations, exceptions, or occurrences exceeding tolerance thresholds..
• Ensures information entered by more junior team members is accurate.
• Contributes as a lead on resolving complex queries and escalations from internal and external clients. Ensures that all customer responses are
thoroughly documented and verified. Also to be accountable as first point to escalation.
• Serves as a work coordinator for the team. May be responsible for specific supervisory review and approval actions.
• Should be responsible for escalating or communicating IT related to issues with respective application support group.
• Periodically brain storming with the team and come–up with Process improvement ideas. Periodically or on-demand should have a defined process to
extract or report MIS / STATs
• Timely Concurring procedures or process related docs. & ensuring all implemented controls & Record mgt. procedures are being followed by junior
staffs.
• Regulatory change – Taking lead on impact, documenting and updating procedure, educating junior staffs & escalate sr. management about Gaps or
breach.
• Act as training lead for the team. Training and up skilling new joiners in the team, also working with the analysts to understand training needs for the
junior staffs.
• Understanding of internal/external audit, their requirements and participating in audits if required.
Competencies

• Basic knowledge of Capital market, Accounting or • Excellent verbal and written • Ensures • Proficiency in MS Office
Billing communication skills Accountability - (excel in particular)
• Basics of • Email and Telephone Etiquettes Takes • Exposure to Billing Platforms
• Life cycle of trade, Billing &Accounting Principles • Analysis Skills ownership of the • Knowledge of SQL & VBA
• Interpretation of complex Fee schedules, knowledge • Prioritization – Time Management funds preferred
about validation, Risk and controls. • Innovation & Problem solving • Drives Results
• Knowledge of the application architecture • Change management • Builds Effective
• Reviews information entered by more junior team • Interpersonal Skills Teams
members. • Timely escalations • Developing
• Understanding on Business Change Mgt. • Knowledge in SQL is preferred. Partnerships
• Record management policy
• Regulatory awareness

Senior Analyst, Billing Production Support- Grade H (IC track) Back to Career Matrix
Qualification Bachelor’s degree (Computers preferred) Engineering Graduate is an added advantage.
Experience 3 – 5 years of total work experience preferred; experience in IT preferred.
Role Summary
• Collects and defines business or functional requirements and translates them into functional design.
• Test planning, and user documentation processes.
• Formulates project scope, objectives, constraints and assumptions based upon user needs as well as knowledge of the
application.
• Develops invoice templates based on signed fee agreements, creates formulas based on proposed billing and maintains the
UDT report.
• Creates formulas based on proposed billing and locks down any cells with a formula.
• Locks down any cells with a formula and ensures invoices are added to the UDT report.
• Able to document and handle system outages.
Competencies

• Develops invoice templates based on signed fee • Excellent verbal and written • Ensures • Proficiency in MS Office
agreements. communication skills Accountability - (excel in particular)
• creates formulas based on proposed billing and • Email and Telephone Etiquettes Takes • Exposure to Billing
maintains the UDT report. • Analysis Skills ownership of the Platforms
• Knowledge of the application architecture • Prioritization – Time funds • Exposure to Research
• Test software enhancements and upgrades as Management • Drives Results SQL Databases
necessary. • Innovation & Problem solving • Builds Effective • Vendor feeds and its
• Creates formulas based on proposed billing and locks • Change management Teams transfer methodology
down any cells with a formula • Interpersonal Skills • Developing • Knowledge of SQL &
• Locks down any cells with a formula and ensures • Timely escalations Partnerships VBA preferred
invoices are added to the UDT report. • Knowledge in SQL is preferred.
• Production Support ability.
• Able to document and handle system outages.

Lead Analyst, Billing Production Support - Grade I (PM track) Back to Career Matrix
Qualification Bachelor’s degree (Computers preferred) Engineering Graduate is an added advantage.
Experience 5-7 years of total work experience with at least 0-2 years in management preferred; experience in IT preferred.
Role Summary
• Manages day-to-day data management activities ensuring quality and accuracy of all work produced and delivered. Understands and implements processes and may
provide recommendations to increase efficiencies and improve processes.
• Contributes to responses to data-related questions from internal and external clients and helps provide solutions. Ensures that all customer responses are thoroughly
documented and verified.
• Taking a lead on resolving complex queries and escalations. Also to be accountable as first point to escalation.
• Tests software enhancements and upgrades as necessary, and may provide recommendations for improvement.
• Reviewing and concurring procedures or process related documents
• Ensuring the process & Procedures is compliant to internal/external audits, ensuring all policies and regulations followed by team.
• Should be responsible for resolving ,escalating or communicating IT related issues with the global teams.
• Establishes operating procedures for the unit and ensures that the procedures align with the goals and objectives for the area.
• Recruits, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their
colleagues as a team.
• Responsible for the supervision of team members and coordination of resources.
Competencies
• Develops invoice templates based on signed • Strong verbal and written • People management skill. - • Proficiency in MS
fee agreements. communication skills Work allocation, Leave planning Office (excel in
• creates formulas based on proposed billing and • Email and Telephone & etc. particular)
maintains the UDT report. Etiquettes • Ensures Accountability - Takes • Exposure to Billing
• Knowledge of the application architecture • Analysis Skills ownership of the process Platforms
• Test software enhancements and upgrades as • Prioritization – Time • Drives Results • Exposure to
necessary. Management • Builds Effective Teams Research SQL
• Creates formulas based on proposed billing • Innovation & Problem • Relationship Building & Databases
and locks down any cells with a formula solving Collaboration • Vendor feeds and its
• Locks down any cells with a formula and • Interpersonal Skills • Builds Effective Teams- transfer methodology
ensures invoices are added to the UDT report. • Timely escalations Develops Talent by Assessing • Knowledge of SQL &
• Production Support ability. • Expectation Management & Addressing training needs for VBA – Preferred
• Able to document and handle system outages. • Stakeholder Management the team.

Manager, Billing - Grade J (PM track) Back to Career Matrix
Qualification
Experience 7-8 years of total work experience with at least 2-3 years in management preferred. Experience in financial services preferred.
Role Summary
 Manages day-to-day data management activities ensuring quality and accuracy of all work produced and delivered. Understands and
implements processes and may provide recommendations to increase efficiencies and improve processes.
 Oversees the implementation of new data related technology enhancements / implementations. Ensures staff compliance with the
Bank's standards and best practices.
 Facilitates analysis of client and business needs and manages related documentation. Guides the team's production of management
reporting and analyses. Ensures the quality of day-to-day services provided is in line with service level agreements in place for each
client. Ensures business requirements are executed as expected.
 Establishes operating procedures for the unit and ensures that the procedures align with the goals and objectives for the area.
 Recruits, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to
function effectively with their colleagues as a team.
 Performance Management for Multiple sub teams.
Competencies
• Knowledge of Financial Services and Accounting activities is • Strong verbal and written • People management skill. - • Proficiency in MS Office
required. Skill to interpret Complex fee tariffs or issues and communication skills Work allocation, Leave (excel in particular)
Resolution - Root cause & downstream Impact. process flow • Email and Telephone planning & etc. • Exposure to Accounting
knowledge. Etiquettes • Ensures Accountability - Platforms
• Knowledge of the application architecture • Analysis Skills Takes ownership of the • Exposure to Research
• Reviews information entered by more junior team members. • Prioritization – Time process SQL Databases
• Test software enhancements and upgrades as necessary. Management • Drives Results • Vendor feeds and its
• Ability to analyze indicative data for different vendor sources • Innovation & Problem • Builds Effective Teams transfer methodology
& Ability to work on large data set and analyze system solving • Relationship Building & • Knowledge of SQL &
requirements • Interpersonal Skills Collaboration VBA – Preferred
• Understanding on Business Change Mgt & Ability to work on • Timely escalations • Builds Effective Teams-
large data set and analyze system requirements • Expectation Management Develops Talent by
• Ability to manage complex issue of people and resolve. • Stakeholder Management Assessing & Addressing
Ability to enhance the process from efficiency point of view training needs for the team.

Lead Manager, Billing - Grade K (PM track) Back to Career Matrix
Qualification
Experience 7-8 years of total work experience with at least 3-5 years in management preferred. Experience in financial services is preferred.
Role Summary
 Manages day-to-day data management activities ensuring quality and accuracy of all work produced and delivered. Understands and implements
processes and may provide recommendations to increase efficiencies and improve processes.
 Oversees the implementation of new data related technology enhancements / implementations. Ensures staff compliance with the Bank's standards and
best practices.
 Facilitates analysis of client and business needs and manages related documentation. Guides the team's production of management reporting and
analyses. Ensures the quality of day-to-day services provided is in line with service level agreements in place for each client. Ensures business
requirements are executed as expected.
 Recruits, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to function effectively
with their colleagues as a team.
 Performance Management for Multiple teams.
Competencies
• Ability to analyze indicative data for different vendor sources & Ability to work on large written communication management skills Office (excel in
data set and analyze system requirements skills • Ensures Accountability particular)
• Understanding on Business Change Mgt & Ability to work on large data set and analyze • Email and Telephone - Takes ownership of • Exposure to Billing
system requirements Etiquettes the process Platforms
• Ability to manage complex issue of people and resolve. Ability to bring enhancements to • Analysis Skills • Drives Results • Exposure to
the process using various avenues like Six Sigma, Lean methodologies. • Prioritization – Time • Builds Effective Teams Research SQL
• Anticipates client needs and provides services that are beyond customer expectations. Management • Developing Databases
• Able to drive efficiencies across locations by collaborating with the key stakeholders in • Innovation & Problem Partnerships • Vendor feeds and
other locations solving • Develops Talent by its transfer
• Possess awareness of the market regulations / organization policies and regulatory • Interpersonal Skills Assessing & methodology
changes that can impact the function • Timely escalations Addressing training • Knowledge of SQL
• Able to think out of the box and come up with innovative ways of bringing in efficiencies • Expectation needs for the team. & VBA – Preferred
by automation or optimization Management • Relationship Building &
• Able to lead and chair meetings / discussions with various stakeholders / locations • Stakeholder Collaboration
• Able to have difficult conversation and discussion's, where required Management • Build stronger control
• Able to take up complex assignments and contribute to its success environment
• Ability to think strategically • Drive Innovation
• Strong Stakeholder Management skills

Derivatives Service Delivery

Derivatives Service Delivery Click here for
Learning Pathway
The global derivatives team processes derivative trades/cash for products such as futures, forwards, collaterals, swaps
and performs ETD & OTC Portfolio reconciliation. The Corporate Action Middle Office (CAMO) team within DSD is involved
with processing of mandatory/voluntary corporate action activities for Middle Office clients. Also, the DSD OTC Pricing
team provides intra-day & end-of-day and month-end pricing information for securities/portfolio valuation.
Reporting: Monitoring and producing transaction reporting around fails, overdrafts and idle balances, P & I collection on assets held as futures collateral, to
ensure resolution of accounting exceptions between The Bank of New York Mellon systems (CMS/IAS). Research and update US overdrafts, idle balances and
late money deposits in the Cash Reporting Database.
Routing: Dispatching of documents across WebSTP2 Routing queues into DSD product support processing queues. All documents are routed internally within
DSD, supporting all DSD Global locations.
Access Control: Embedded Controls is required to ensure all the staff are provided with the required level of access necessary for their functions under the
DSD umbrella, accordingly complete and evidence all the documentation envisaging the compliance and regulatory requirements of the department and the
organization. Apart from this, Controls Specialist is required to maintain and publish multiple reports on periodic basis which is used by the Sr. management for
business planning and process management.
Reconciliation: ETD – ETD Margin Reconcilements supports Daily Reconcilements between the custody client accounting platform and Future Clearing
Merchant (FCM) Broker holding statements via Futures Management Application (FMA). Identify specific breaks related to future positions, pricing, and cash
balance differences, applying the correct resolution reason code and detailed comments. The team also supports processing of cancellation and amendments of
Future Trades. OTC - DSD OTC Portfolio Reconciliation team performs OTC derivatives portfolio reconciliation via Tri-Optima for D360 clients. The reconciliation
service includes the collection of data (feeds and statements), the identification of exceptions, resolution management (including escalation) and client reporting.
Custody Processing: Custody teams are responsible to process derivative cash and trades received via SWIFT, FTP & Authorized fax format for products
such as futures, forwards, collaterals, swaps on behalf of their clients. They are also responsible to maintain books of account for the same. The team also takes
care of the client queries received through Client Inquiry System (CIS). The custody teams also fall under CASS & CAP regulation for processing stock collateral.
Corporate Action: Corporate Action Middle Office (CAMO) team notifies for all mandatory corporate action events and further responsible to process all
‘Name Change’, ‘Full Call Redemptions & ‘CMO Final Pay down’ event types. Notification involves event creation on CANRS and payments involve posting to
CMS, also communicating the payments to the clients for 3 events – Name Change, Full Call Redemptions & CMO Final Pay down.
SME/Digital Lead: Undertake lead role in derivatives projects for new and existing clients. Using their knowledge of BNYM’s custody, accounting and
outsourcing capabilities, develop the model to support new or existing client’s derivative servicing needs. Produce the list of tasks, develop test plans and
undertake or oversee the testing, in conjunction with the client before go live.
Data Management/Quantitative Analysis: Team compile and synthesize raw market data (e.g., securities, pricing, reference, or other asset class/type
data), internal operational and client reference data and perform preliminary calculations for both internal and external clients to be used for more advanced
quantitative analyses or reporting. At the higher levels, incumbents will apply preliminary data and analyses, supplement with additional research, and apply
advanced statistical and quantitative methodologies to develop advice, reports and business decision support tools to internal and external clients.

DSD Career Matrix
Lead manager
(Management)
(K)
Lead Manager
(Management)
Lead Manager (K) Lead Manager Manager
(Management) (Management) (Management)
(K) (K) (J)
Lead Manager Manager
(Management) (Management) Lead Analyst
(K) Manager (J) Manager (Individual Contributor)/
(Management) Sr. Specialist/ Team leader
(Management)
Manager / (J) (Support) (PM)
(J) Digital Lead (I)
Sr. Specialist
N/A (Individual
(Individual Sr. Analyst/
Contributor)
Contributor) TBD
TBD Ld. Inter Representative
Job Complexity
(J)
(J) N/A (I)
(I) (Individual Contributor)
(H)
TBD TBD
N/A (I) Analyst
(I)
(Individual Contributor)/
TBD
Sr. Representative
N/A (H) (Support)
Sr. Representative
TBD (G)
TBD (Support)
(G) – IC (H) Inter.
(H) Sr. Representative Sr. Representative
(Support) PM Representative
(Support)
Sr. Representative (G) – IC Inter. (Support)
(G)
(Support) PM Representative SME (F)
(G) (Support)
Routing
Inter. Inter.
Reporting Representative (F)
Representative OTC Pricing/
Inter. Representative (Support)
Representative
(Support) Data Management &
(Support) (F) (F)
Routing (Support) Quant Analysis
Reporting Representative (E)
(F) (Support)
Corporate Action
(E)
Representative Custody
(Support) Processing
Legend
(E) Existing Roles In India
Reconciliation
Reporting/Routing/ Roles exists only outside India
Access Control

Navigation
Functional

Cross


Job Code Family

70103 Specialist, Client Service Individual Contributor
70123 Lead Manager, Data Management & Quantitative Analysis Management
70126 Lead Analyst, Data Management & Quantitative Analysis Individual Contributor
70127 Senior Analyst, Data Management & Quantitative Analysis Individual Contributor
70128 Analyst, Data Management & Quantitative Analysis Individual Contributor
Intermediate Representative, Data Management & Quantitative

70129 Support
Analysis
70455 Senior Representative, Corporate Actions Support
70456 Intermediate Representative, Corporate Actions Support
70569 Senior Representative, Reconciliation Support
70606 Analyst, Client Processing Individual Contributor
70654 Manager, Data Management & Quantitative Analysis Management
Senior Representative, Data Management & Quantitative

70655 Support
Analysis
70656 Lead Representative, Data Management & Quantitative Analysis Support
70657 Team Lead, Data Management & Quantitative Analysis Support

Growth Matrix
Vertical move
Vertical move
Inter,
Inter,
Representative
Representative
(F-Support)
(F-Support)
Reporting/Rout
Reconciliation
ing/ Access
or Custody or
Control
CAMO
Lateral move
Representative Inter,
Representative
(E-Support)
(E-Support)
Reporting/Routing/ Reconciliation
Access Control or Custody

DSD - Cross Functional Career Matrix (1/2)
Instructions
Processes under DSD

Trade Capture - IVC/IPG IVC, IPG, Settlements

Accounting Services - GIA - GIA with similar nature of work
Support
CT & CT Analytics -Doc Custody GFASS & FA TCM – TCM

further details
EMEA TA - Operations Support EMEA TA - Client Processing Click on “DSD” in cross-functional

Reporting/Routing Custody Navigation to come back to this
/Access Control Processing page
Reconciliation

Reconciliations
AIS - Recon EMEA TA – Reconciliation MOO - Reconciliation
HedgeMark-Hedge Fund - Holding GFASS & FA TCM - Investor

GIA - Reconciliation - GIA & Global
Reconciliation Services

DSD - Cross Functional Career Matrix (2/2)
Instructions
Processes under DSD
Reconciliations -Transformation & Processes across functions

Portfolio Services with similar nature of work
GBS
SDM - Corporate Actions Billing -Production Support Click on each process for
further details
Click on “DSD” in cross-functional

Navigation to come back to this
Corporate Action SME
page
OTC Pricing/Data
Management/Quant
Analysis
CT & CT Analytics -Analytics Asset Servicing – Pricing
HedgeMark - Hedge Fund - Risk

SDM - Security Master File / Pricing
Reporting

DSD Custody – Reporting, Routing & Access Control

Back To Career Matrix
DSD Routing - Grade E (Support)
Qualification Bachelor's Degree in accounting/finance/commerce is preferred. Post Graduate in Business is preferred.
Experience Minimum 1 Years of experience in similar business/industry preferred.
Role Summary
An individual is responsible for dispatching of documents across WebSTP2 routing queues into, DSD product support
processing queues. All the documents are routed internally within DSD, supporting all the DSD Global locations. Staff should
perform signature checks and Call backs for the required instructions. Staff needs to make sure that accuracy and timeliness
is maintained following the standard operating procedure along with exception investigation. Staff must be able to recognize
and escalate any potential fraudulent activities. All issues related to any potential loss/misses or otherwise to be raised on
Competencies

• Basics on Derivatives & Accounting • Effective communication • WEBSTP2, CMS, GSP,
• Basics of MS Office skills EDM & Nexen-DTE
• knowledge on financial and securities • Analysis Skills
market • Sound Judgement
• Awareness of the trade and settlement • Interpersonal Skills
cycles

DSD Routing - Grade F (Support) Back To Career Matrix
Experience Minimum 2 years of experience in similar business/industry preferred.
Role Summary
An individual is responsible for dispatching of documents across WebSTP2 routing queues into, DSD product support
processing queues. All the documents are routed internally within DSD, supporting all the DSD Global locations. Staff should
perform signature checks and Call backs for the required instructions. Staff needs to make sure that accuracy and
timeliness is maintained following the standard operating procedure along with exception in Routing. Staff needs to assist
team members in resolving queries and Matrix updates. Staff should also update/highlight changes related
to standard operating procedure which needs to be incorporated in the document. Staff must be able to recognize and
escalate any potential fraudulent activities. All issues related to any potential loss/misses or otherwise to be raised on urgent
basis to immediate Supervisor.
Competencies
• Knowledge on Derivatives • Strong communication • WEBSTP2, CMS, GSP,
• knowledge on MS Office skills skills EDM & Nexen-DTE
• Intermediate knowledge on the financial and • Email and Telephone
securities market Etiquettes
• Awareness of the trade and settlement • Time Management
cycles • Sound Judgement
• Knowledge on SWIFT & Authorized/Manual • Innovation
faxes • Risk Management
• Awareness on TAT & Quality deliverables • Interpersonal Skills
• Root Cause Analysis & Reporting • Timely escalations
• Query management & understanding the
impact of the same

DSD Reporting - Grade F (Support) Back To Career Matrix

Role Summary
An individual is responsible for monitoring of fails, overdrafts, idle balances, P & I collection on assets held as futures collateral
and resolution of accounting exceptions between The Bank of New York Mellon systems. Staff should research and update US
overdrafts, idle balances and late money deposits in the Cash Reporting Database. Ensure all Updates must be completed in
the database before the mentioned deadline of the following business day. Staff needs to make sure that accuracy and
timeliness is maintained following the standard operating procedure along with exception investigation. Staff needs to assist
team members in resolving queries. Staff should also update/highlight changes related to standard operating procedure which
needs to be incorporated in the document. Staff must be able to recognize and escalate any potential fraudulent activities. All
issues related to any potential loss/misses or otherwise to be raised on urgent basis to immediate Supervisor.
Competencies
• Intermediate knowledge on the financial and • Strong communication • CMS, FMA, CIS, Eye-
securities market skills Ball, GTM & WEBSTP2
• knowledge on MS Office skills • Email and Telephone
• Proficiency in excel & power point is Etiquettes
required • Analysis Skills
• Awareness of the trade and settlement • Time Management
cycles • Sound Judgement
• MIS Reporting • Innovation
• Root Cause Analysis • Interpersonal Skills
• Query management & understanding the • Timely escalations
impact of the same

DSD Routing - Grade G (Support) Back To Career Matrix
Experience 4-5 years experience in similar line of business/industry. Excellent communication skills are a must for the role.
Role Summary
An individual is responsible for Monitoring and dispatching of documents across WebSTP2 routing queues into, DSD product support
processing queues. All the documents are routed internally within DSD, supporting all the DSD Global locations. Staff should ensure that
signature checks and Call backs for the required instructions are performed. All Routing deadlines as agreed in SLD with respective
departments, to be monitored and issues should be raised to immediate Manager. Staff needs to make sure that accuracy and timeliness
is maintained following the standard operating procedure along with exception investigation in Routing. Staff needs to assist team
members in resolving queries/client escalations. Staff is responsible to maintain Routing Matrix. Update KPI/KRI on monthly basis. Track
individual performance for team members and provide regular feedback. Periodically review standard operating procedure document and
make sure it is updated with changes. All process or people related issue need to be communicated to next level manager. Plan leaves
for team and take care of the backup for function.
Competencies
• Sound knowledge on Derivatives • Strong communication • WEBSTP2, CMS, GSP,
• Good MS Office skills skills EDM & Nexen-DTE
• Sound knowledge on the financial and • Email and Telephone
securities market Etiquettes
• Awareness of the trade and settlement cycles • Analysis Skills
• Knowledge on SWIFT & Authorized faxes • Work Allocation
• Drive TAT & Quality for the business • Time Management
• Root Cause Analysis & Reporting • Innovation & Problem
• Know the Impact of transactions in custody & solving
accounting platform • Risk Management
• Query management & understanding the impact • Interpersonal Skills
of the same • Timely escalations
• Training New joiners • Change management
• SME - Domain Expert • Decision Making
• Maintaining and updation of SOP's
• Knows Regulatory requirements

DSD Reporting - Grade G (Support) Back To Career Matrix
Experience 4-5 years experience in a similar line of business/industry. Excellent communication skills are a must for the role.
Role Summary
An individual is required to monitor fails, overdrafts, idle balances, P & I collection on assets held as futures collateral and resolution of
accounting exceptions between The Bank of New York Mellon systems. Staff should also ensure to research and update US overdrafts,
idle balances and late money deposits in the Cash Reporting Database. Ensure all Updates must be completed in the database before
the mentioned deadline of the following business day. All reporting deadlines as agreed in SLD with respective departments, to be
monitored and issues should be raised to immediate Manager. Staff needs to make sure that accuracy and timeliness is maintained
following the standard operating procedure along with exception investigation. Staff needs to assist team members in resolving
queries/client escalations. Update KPI/KRI on monthly basis. Track individual performance for team members and provide regular
feedback. Periodically review standard operating procedure document and make sure it is updated with changes. All process or people
related issue need to be communicated to next level manager. Plan leaves for team and take care of the backup for function.
Competencies
• Good MS Office skills • Strong communication • CMS, FMA, CIS, Eye-Ball,
• Proficiency in excel preferred skills GTM & WEBSTP2
• Intermediate level on knowledge of the financial • Email and Telephone
and securities market Etiquettes
• Awareness of the trade and settlement cycles • People Management skills
• MIS Reporting • Analysis Skills
• Drive TAT & Quality for the business • Work Allocation
• Root Cause Analysis & Reporting • Time Management
• Knowledge on Derivatives • Innovation & Problem
• Query management & understanding the impact solving
of the same • Risk Management
• Training New joiners • Interpersonal Skills
• SME - Domain Expert • Timely escalations
• Maintaining and updation of SOP's • Change management
• Knows Regulatory requirements • Decision Making

DSD Access Control - Grade J (Individual Contributor) Back To Career Matrix
Role Summary
Overall responsibility to work with the Embedded Control Team and Global Operations Control to ensure the control environment within
the business unit is sound and the business unit is meeting client needs. Work with Embedded Control Section Manager to complete all
control and risk management responsibilities for the assigned business unit in accordance with Corporate Policies and Procedures,
Regulatory requirements and Legal practices. The staff will perform Quality Control (QC) reviews / testing, analyze results, prepare
reporting and conduct meetings with the Line of Business Managers to review QC results. The staff will support management on Business
Recovery, Management Reporting, System/User Access Reviews and ongoing projects and other business specific control and risk
activities where applicable. Control Specialist will be exposed to a variety of platforms and systems. Staff will have to support identification
and documentation of business line risks using the Corporate Risk Assessment (RCSA) tool, review policies and procedures and may be
asked to support or coordinate information for Internal and External audits. All process or people related issue need to be communicated
to next level manager.
Competencies
• Sound knowledge on the financial and • Strong communication • Lotus Note, FMA,
securities market skills WEBSTP2, CMS, Eye
• Good MS Office skills • Email and Telephone Ball, CIS, GAMO Access
• Proficiency in Excel Preferred Etiquettes Request, Sail Point &
• MIS Reporting • Analysis Skills Digital Pulse
• Control Testing • Time Management
• Risk control self assessment • Innovation & Problem
• Experience in auditing is preferred solving
• Knowledge on Risk & Controls • Risk Management
• Root Cause Analysis & Reporting • Interpersonal Skills
• Query management • Timely escalations
• Access Request • Change management
• Semi annual & Annual access certifications • Decision Making

Reconciliation – ETD & OTC Port Recon.

DSD ETD Reconciliation - Grade E (Support) Back To Career Matrix
Role Summary
An individual is responsible for the investigation and resolution of accounting exceptions between The Bank of New York
Mellon systems (CMS/IAS/GSP/IMMS) which are thrown in the FMA as the work items. All the breaks are thoroughly
investigated in the internal avenues (CMS, GSP, GTM, WEB, Broker statement, IAS) and need to update/lock the comments
accordingly in FMA. The missing transactions are been raised to the servicing via the CI queries and need to the follow up with
them and resolve the breaks. Staff needs to check the trade repair queues, trade cancellations queues, CI queue and
resolve/update the breaks post the investigations. Staff needs to make sure that accuracy and timeliness is maintained
following the standard operating procedure along with exception investigation. Staff must be able to recognize and escalate
any potential fraudulent activities. All issues related to any potential loss/misses or otherwise to be raised on urgent basis to
Competencies

• Basics on Derivatives & Accounting • Effective communication • Tri-Resolve, FMA,
• Basics of MS Office skills MelEDMS, CIS, CMS,
• Knowledge on Reconciliation • Analysis Skills IMMS, GSP, GTM,
• knowledge on financial and securities • Sound Judgement WEBSTP2 &
market • Interpersonal Skills Workbench
• Awareness of the trade and settlement
cycles

DSD ETD & OTC Port Rec Reconciliation - Grade F (Support) Back To Career Matrix
Role Summary
ETD: The Staff is responsible for the review of the breaks/exceptions which are identified/updated by the OE’s in the FMA application. Staff will support OEs for all
process related issues. Staff is responsible for the monitor of the aged break items on a weekly basis and the same is been shared with the Supervisors. Staff is
responsible for the breaks/exceptions are completed on a daily basis. Monitor and ensure the status emails are communicated to the onshore counterparts and to the
management on a timely bias. Staff will be responsible for monitoring all the internal avenues (Trade repair queue, Fax, FTP, Trade cancellation, CI and Mail queries)
and ensure all the instructions/breaks are been updated/resolved accordingly. Communicate with Onshore to resolve any breaks/exception which cannot be cleared
from the FMA work item queue. Own the responsibility of the supervisory items in the queue.
OTC Port Rec: Performs quality assurance for the team and analyzes the data for meaningful inferences. In this role, staff will be required to be a mentor and coach to
the team members. Additionally, the staff will be required to perform reconciliations in a scenario of higher volumes. Staff will require liaising with various internal
departments such as; Middle office, Broker Dealer Services (BDS), Client Services (Including relationship managers and service delivery managers) Audit and Risk,
Derivatives Servicing Group (DSG) and other Global operations teams within D360. They also have relationships and contact with external parties such as
counterparties, Investment managers, vendors and clients to execute tasks and meet deadline. Should be able to work with minimum supervision and ensure that
turnaround time and quality parameters are met for the team. Staff will be required to monitor aged items and ensure resolution through effective communication with
respective teams. Staff will analyze the deviations if any in the key performance indicators. Staff will also proactively endeavor to put in place preventive measures to
mitigate financial risk associated with high exposure items. Staff must ensure that workflow is seamless and allocation done through levelling of tasks.
For Both ETD & OTC Port Rec Staff need to make sure that accuracy and timeliness is maintained following the standard operating procedure along with exception
investigation. Staff needs to assist team members in resolving queries. Staff should also update/highlight changes related to standard operating procedure which needs
to be incorporated in the document. The individual must be able to recognize and escalate any potential fraudulent activities. All issues related to any potential
loss/misses or otherwise to be raised on urgent basis to immediate Supervisor.
Competencies
• Intermediate knowledge on Derivatives & Accounting • Strong communication skills • Tri-Resolve, FMA,
• knowledge on MS Office skills • Email and Telephone MelEDMS, CIS, CMS, IMMS,
• Proficiency in Excel is required Etiquettes GSP, GTM, WEBSTP2 &
• Intermediate knowledge on the financial and • Analysis Skills Workbench
securities market • Time Management
• Awareness of the trade and settlement cycles • Sound Judgement
• Knowledge on Reconciliation is required • Innovation & Problem solving
• Root Cause Analysis & Reporting • Risk Management
• Know the Impact of transactions in custody & • Interpersonal Skills
accounting platform • Timely escalations
• Query management & understanding the impact of
the same

DSD ETD Reconciliation - Grade G (Support) Back To Career Matrix
Role Summary
The Staff is responsible to monitor/complete all the breaks/exceptions which are received on a daily basis in the FMA, Trade repair,
cancellation, zero lot, FAX, FTP queues. Ensure this is been escalated to the management in case of any deviation or the breaks are not
completed/resolved. Staff is responsible to share the aged break items on a weekly basis to the onshore shore and to the senior
management. All reporting deadlines as agreed in SLD with respective departments, to be monitored and issues should be raised to
immediate Manager. Staff needs to make sure that accuracy and timeliness is maintained following the standard operating procedure
along with exception investigation. Staff needs to assist team members in resolving queries/client escalations. Update KPI/KRI on
monthly basis. Track individual performance for team members and provide regular feedback. Periodically review standard operating
procedure document and make sure it is updated with changes. All process or people related issue need to be communicated to next
level manager. Plan leaves for team and take care of the backup for function.
Competencies
• Sound knowledge on Derivatives & Accounting • Strong communication • Tri-Resolve, FMA,
• Good MS Office skills skills MelEDMS, CIS, CMS,
• Proficiency in Excel Preferred • Email and Telephone IMMS, GSP, GTM,
• Sound knowledge on the financial and securities market Etiquettes WEBSTP2 & Workbench
• Good knowledge on Reconciliation is must • Work Allocation
• Know the Impact of processing of transactions in custody & solving
• Query management & understanding the impact of the • Interpersonal Skills
same • Timely escalations

DSD ETD Reconciliation - Grade G (Support) (PM) Back To Career Matrix
4-5 years experience in a similar line of business/industry. Minimum 1 years of experience as a People Manager.
Experience
Excellent communication skills are a must for the role.
Role Summary
The Staff is responsible to monitor/complete all the breaks/exceptions which are received on a daily basis in the FMA, Trade repair,
cancellation, zero lot, FAX, FTP queues. Ensure this is been escalated to the management in case of any deviation or the breaks are not
completed/resolved. Staff is responsible to share the aged break items on a weekly basis to the onshore shore and to the senior management.
All reporting deadlines as agreed in SLD with respective departments, to be monitored and issues should be raised to immediate Manager.
Staff needs to make sure that accuracy and timeliness is maintained following the standard operating procedure along with exception
investigation. Staff needs to assist team members in resolving queries/client escalations. Update KPI/KRI on monthly basis. Track individual
performance for team members and provide regular feedback. Periodically review standard operating procedure document and make sure it is
updated with changes. All process or people related issue need to be communicated to next level manager. Plan leaves for team and take care
of the backup for function. Conduct Performance Management Program for the team.
Competencies
• Sound knowledge on Derivatives & Accounting • Strong communication skills • Values - Client Focus, • Tri-Resolve, FMA,
• Good MS Office skills • Email and Telephone Integrity, Teamwork & MelEDMS, CIS, CMS,
• Proficiency in Excel Preferred Etiquettes Excellence. IMMS, GSP, GTM,
• Sound knowledge on the financial and securities • People Management skills • People management skills - WEBSTP2 & Workbench
market • Analysis Skills Work allocation, Leave
• Awareness of the trade and settlement cycles • Work Allocation planning, Cross training,
• Good knowledge on Reconciliation is must • Time Management conflicts management,
• Drive Green KPI, TAT & Quality for the business • Innovation & Problem PMP & capacity planning.
• Root Cause Analysis & Reporting solving • Accountability & Flexibility -
• Know the Impact of processing of transactions in • Risk Management Takes ownership, Drives
custody & accounting platform • Interpersonal Skills Results, Builds Effective
• Query management & understanding the impact • Timely escalations Teams, Developing
of the same • Change management Partnerships.
• Training New joiners • Decision Making
• SME - Domain Expert

Custody Processing – Cash & Trade

DSD Custody Processing Cash & Trade - Grade E (Support) Back To Career Matrix
Bachelor's Degree in accounting/finance/commerce is preferred.

Qualification
Post Graduate in Business is preferred.
Role Summary
An individual is responsible for processing of cash & trade instructions along with record keeping transactions on behalf of the clients. The
instructions are received in multiple formats/application i.e., WebSTP2, FTP, AUDSUM (CMS) and Secured Email. Staff needs to check
the processing queues, FTP folders and emails throughout the day for any new trade, cancellations or amendments. The staff is also
responsible to manage client queries which have been raised via CI (Client Inquiry) query portal. Staff needs to make sure that accuracy
and timeliness is maintained following the standard operating procedure along with exception investigation. Staff must be able to
recognize and escalate any potential fraudulent activities. All issues related to any potential loss/misses or otherwise to be raised on
Competencies

• Basics on Derivatives & Accounting • Effective communication • WEBSTP2, CMS, IAS,
• Basics of MS Office skills GSP, IMMS, CIS,
• knowledge on financial and securities market • Analysis Skills Workbench, MelEDMS,
• Awareness of the trade and settlement cycles • Sound Judgement FMA, SUMMIT, GTM,
• Interpersonal Skills Nexen-DTE &
AUTOPROC

DSD Custody Processing Cash & Trade - Grade F (Support) Back To Career Matrix

Qualification
Role Summary
An individual is responsible for processing as well as reviewing of cash & trade instructions along with record keeping transactions on
behalf of the clients. The instructions are received in multiple formats/application i.e., WebSTP2, FTP, AUDSUM (CMS) and Secured
Email. Staff needs to check the processing queues, FTP folders and emails throughout the day for any new trade, cancellations or
amendments. The individual is also responsible for carrying out settlements for all OCC cleared Option trades along with monitoring the
OCC vs Custody positions report, Cash Collateral report on daily basis. The staff is also responsible to manage client queries which have
been raised via CI (Client Inquiry) query portal. The staff will perform all intra-day and end-of-day control checks for the derivatives team
to ensure all trade, cash and accounting activity has been completed. Staff needs to make sure that accuracy and timeliness is
maintained following the standard operating procedure along with exception investigation. Staff needs to assist team members in
resolving queries. Staff should also update/highlight changes related to standard operating procedure which needs to be incorporated in
the document. The individual must be able to recognize and escalate any potential fraudulent activities. All issues related to any potential
loss/misses or otherwise to be raised on urgent basis to immediate Supervisor.
Competencies
• Knowledge on Derivatives & Accounting • Strong communication • WEBSTP2, CMS, IAS,
• knowledge on MS Office skills skills GSP, IMMS, CIS,
• Intermediate knowledge on the financial and • Email and Telephone Workbench, MelEDMS,
securities market Etiquettes FMA, SUMMIT, GTM,
• Awareness of the trade and settlement cycles • Analysis Skills Nexen-DTE, AUTOPROC,
• Experience in transaction processing • Time Management WEBSTP2, GTM, CMS,
• Awareness of the trade and settlement cycles • Sound Judgement DTCC, OCC, GSP &
• Experience in performing reviews/quality • Innovation & Problem MOBI
checks solving
• Root Cause Analysis & Reporting • Risk Management
• Know the Impact of processing of transactions • Interpersonal Skills
in custody & accounting platform • Timely escalations
• Query management & understanding the impact
of the same

DSD Custody Processing Cash & Trade - Grade G (Support) Back To Career Matrix

Qualification
Role Summary
The Staff is responsible to monitor/ensure all the instructions which are received on a daily basis via WebSTP2, FTP, AUDSUM (CMS) and
Secured Email are completed on the same day within stipulated Market Deadlines, TAT & Quality. Ensure this is been escalated to the
management in case of any deviation or the action items which are not completed/resolved for the day. Staff is responsible to share MIS report
to the senior management on monthly basis. All reporting deadlines as agreed in SLD with respective departments, to be monitored and issues
should be raised to immediate Manager. Staff needs to make sure that accuracy and timeliness is maintained following the standard operating
procedure along with exception investigation. Staff needs to assist team members in resolving queries/client escalations. Update KPI/KRI on
monthly basis. Track individual performance for team members and provide regular feedback. Periodically review standard operating procedure
document and make sure it is updated with changes. All process or people related issue need to be communicated to next level manager. Plan
leaves for team and take care of the backup for function.
Competencies
• Knowledge on Derivatives & Accounting • Strong communication • WEBSTP2, CMS, IAS,
• Good MS Office skills skills GSP, IMMS, CIS,
• Sound knowledge on the financial and securities market • Email and Telephone Workbench, MelEDMS,
• Awareness of the trade and settlement cycles Etiquettes FMA, SUMMIT, GTM,
• Experience in transaction processing • Analysis Skills Nexen-DTE &
• Experience in performing reviews/quality checks • Work Allocation AUTOPROC
• Know the Impact of processing of transactions in custody & solving
• Query management & understanding the impact of the • Interpersonal Skills
same • Timely escalations

DSD Custody Processing Cash & Trade - Grade G (Support) (PM) Back To Career Matrix

Qualification
Experience
Role Summary
The Staff is responsible to monitor/ensure all the instructions which are received on a daily basis via WebSTP2, FTP, AUDSUM (CMS) and Secured
Email are completed on the same day within stipulated Market Deadlines, TAT & Quality. Ensure this is been escalated to the management in case of
any deviation or the action items which are not completed/resolved for the day. Staff is responsible to share MIS report to the senior management on
monthly basis. All reporting deadlines as agreed in SLD with respective departments, to be monitored and issues should be raised to immediate
Manager. Staff needs to make sure that accuracy and timeliness is maintained following the standard operating procedure along with exception
investigation. Staff needs to assist team members in resolving queries/client escalations. Update KPI/KRI on monthly basis. Track individual
performance for team members and provide regular feedback. Periodically review standard operating procedure document and make sure it is updated
with changes. All process or people related issue need to be communicated to next level manager. Plan leaves for team and take care of the backup for
function. Conduct Performance Management Program for the team.
Competencies
• Knowledge on Derivatives & Accounting • Strong communication skills • Values - Client Focus, • WEBSTP2, CMS, IAS, GSP,
• Good MS Office skills • Email and Telephone Integrity, Teamwork & IMMS, CIS, Workbench,
• Sound knowledge on the financial and securities Etiquettes Excellence. MelEDMS, FMA, SUMMIT,
market • People Management skills • People management skills - GTM, Nexen-DTE &
• Awareness of the trade and settlement cycles • Analysis Skills Work allocation, Leave AUTOPROC
• Experience in transaction processing • Work Allocation planning, Cross training,
• Experience in performing reviews/quality checks • Time Management conflicts management, PMP
• Drive Green KPI, TAT & Quality for the business • Innovation & Problem solving & capacity planning.
• Root Cause Analysis & Reporting • Risk Management • Accountability & Flexibility -
• Know the Impact of processing of transactions in • Interpersonal Skills Takes ownership,
custody & accounting platform • Timely escalations • Drives Results, Builds
• Query management & understanding the impact of • Change management Effective Teams, Developing
the same • Decision Making Partnerships.
• Training New joiners

DSD - Grade J (Management) Back To Career Matrix
Qualification Bachelor's Degree in accounting/finance/ commerce is preferred. Post Graduate in Business is preferred.
Experience
Role Summary
The individual is required to manage day-to-day activities, ensure quality and accuracy for all the DSD teams is maintained at a high standard. Ensure that all SLA/SLD
as agreed with key operations areas are adhered. Oversees implementation of new projects, transitions and transformation are successfully executed. Oversee process
trending around exception management, error management, maintain related documents and provide process related enhancement to consistently make process
better. Ensure completion of all critical daily controls and compliance with regulatory requirements, corporate & departmental policies and procedures. Regularly liaise
with the onshore team and Sr. Managers ensuring the client service is at its best. Prepare MIS reports to enhance the management planning & decision making.
Oversee all aspects of resource management (selection, training & development, performance management, retention, recognition, etc.). Mentor, Groom and motivate
staff so that the best outcome can be derived. Take regular skip level meetings to understand process and people problem within function and address them effectively.
Keep close watch on customer voice to understand where business is standing and how it can be improved on performance and deliverables.
Competencies
• Good MS Office skills • Email and Telephone Integrity, Teamwork & MelEDMS, CIS, CMS,
• Proficiency in Excel Preferred Etiquettes Excellence. IMMS, GSP, GTM,
• MIS Reporting • People Management skills • People management skills - WEBSTP2, SUMMIT,
• Sound knowledge on the financial and securities market • Analysis Skills Work allocation, Leave Nexen-DTE, Eye-Ball,
• Awareness of the trade and settlement cycles • Time Management planning, Cross training, CANRS, CASCADE,
• Good knowledge on Reconciliations • Innovation & Problem Conflicts management, PMP & DTCC, DTC.hep,
• Knowledge on Corporate Actions solving Capacity planning. Bloomberg, AUTOPROC,
• In conjunction with the Operations Manager develop a strategic plan • Risk Management • Accountability & Flexibility - Green Database &
for the department • Interpersonal Skills Takes ownership, Drives Workbench
• Ensure compliance with all regulatory requirements • Timely escalations Results, Builds Effective
• Oversee all aspects of resource management (selection, training & • Change management Teams, Developing
development, performance management, retention, recognition, etc.) • Decision Making Partnerships.
• Monthly Business Review Meetings • Relationship management
• Risk control self assessment with Client
• Responsible for business SLD's
• Capacity planning
• Drive Green KPI, KRI, TAT & Quality for the business
• Manage employee retention
• Root Cause Analysis & Reporting
• Query management
• Creating New Leaders
• Maintaining and Review of SOP's

DSD - Grade K (Management) Back To Career Matrix
Experience
Role Summary
The individual is required to manage day-to-day activities, ensure quality and accuracy for all the DSD teams is maintained at a high standard. Ensure that all SLA/SLD
as agreed with key operations areas are adhered. Oversees implementation of new projects, transitions and transformation are successfully executed. Oversee process
trending around exception management, error management, maintain related documents and provide process related enhancement to consistently make process
better. Ensure completion of all critical daily controls and compliance with regulatory requirements, corporate & departmental policies and procedures. Regularly liaise
with the onshore team and Sr. Managers ensuring the client service is at its best. Prepare MIS reports to enhance the management planning & decision making.
Oversee all aspects of resource management (selection, training & development, performance management, retention, recognition, etc.). Mentor, Groom and motivate
staff so that the best outcome can be derived. Take regular skip level meetings to understand process and people problem within function and address them effectively.
Keep close watch on customer voice to understand where business is standing and how it can be improved on performance and deliverables.
Competencies
• Good MS Office skills • Email and Telephone Etiquettes Integrity, Teamwork & MelEDMS, CIS, CMS,
• Proficiency in Excel Preferred • People Management skills Excellence. IMMS, GSP, GTM,
• MIS Reporting • Analysis Skills • People management skills WEBSTP2, SUMMIT,
• Sound knowledge on the financial and securities market • Time Management - Work allocation, Leave Nexen-DTE, Eye-Ball,
• Awareness of the trade and settlement cycles • Innovation & Problem solving planning, Cross training, CANRS, CASCADE,
• Good knowledge on Reconciliations • Risk Management Conflicts management, DTCC, DTC.hep,
• Knowledge on Corporate Actions • Interpersonal Skills PMP & Capacity planning. Bloomberg, AUTOPROC,
• In conjunction with the Operations Manager develop a strategic plan • Timely escalations • Accountability & Flexibility Green Database &
for the department • Change management - Takes ownership, Drives Workbench
• Ensure compliance with all regulatory requirements • Decision Making Results, Builds Effective
• Oversee all aspects of resource management (selection, training & • Relationship management with Teams, Developing
development, performance management, retention, recognition, etc.) Client Partnerships.
• Monthly Business Review Meetings
• Risk control self assessment
• Responsible for business SLD's
• Capacity planning
• Drive Green KPI, KRI, TAT & Quality for the business
• Manage employee retention
• Root Cause Analysis & Reporting
• Query management
• Creating New Leaders
• Maintaining and Review of SOP's

DSD Subject Matter Expert/Digital Lead

DSD SME/Digital Lead - Grade J (Individual Contributor) Back To Career Matrix
Role Summary
Undertake lead role in derivatives projects for new and existing clients. Using their knowledge of BNYM’s custody, accounting and
outsourcing capabilities, develop the model to support a new or existing client’s derivative servicing needs. Document the model and
review it with internal and/or external operational or technology groups. Produce the list of tasks required to achieve go live. Develop test
plans, and undertake or oversee the testing, in conjunction with the client, in order to prove out the model before ‘go live’. Report and
manage bug lists as a result of testing. Develop the model required to support a new or existing client’s derivative servicing needs,
working either alone or in conjunction with Project Manager Derivatives. Document the model and review with relevant internal or external
groups. Develop and manage the list of tasks to be completed in order to achieve go live. Develop test plans and review with all groups
before testing commences. Undertake/oversee testing and be responsible for proving out the testing scenarios. Document and manage
all testing issues ensuring all are closed out before ‘go live’.
Competencies
• Detailed knowledge of most commonly traded derivative • Strong communication skills • FMA, MelEDMS, CIS,
instruments, both OTC and Exchange Traded • Email and Telephone CMS, IMMS, GSP,
• Proficient in MS Office skills Etiquettes GTM, WEBSTP2,
• Business Analysis • Analytical Skills SUMMIT, Nexen-DTE,
• Data Analysis • Innovation Eye-Ball, CANRS,
• Undertake lead role in derivatives projects for new and • Flexibility & Adaptability CASCADE,
existing clients • Risk Management DTCC, DTC.hep,
• Knowledge on business documentations such as BRD, • Interpersonal Skills Bloomberg,
FRD, Release doc, UAT doc etc. • Timely escalations AUTOPROC, Green
• Develop the model to support a new or existing client’s • Change management Database, Workbench
derivative servicing needs • Decision Making etc.
• Develop test plans and undertake or oversee the testing
• Ensure compliance of technical implementation with all
regulatory requirements

DSD Corporate Action

DSD CAMO - Grade F (Support) Back To Career Matrix
Role Summary
An individual is responsible for accurate & timely execution of new and updated corporate actions for US & non-US voluntary and mandatory
corporate actions and also ensure processing of daily volume as assigned. For the three events: - Name change, Full call & CMO Final Pay
down notification involve event creation on CANRS and payments involve posting to CMS, communicating the payments to the clients. Also,
processing of the scheduled reports: - DTC New Announcement report, DTC New Redemptions, DTC Updates and Bloomberg Report.
Checking third party custody faxes for validating new or updates in corporate actions. Staff needs to make sure that accuracy and timeliness is
maintained following the standard operating procedure along with exception investigation. Staff must be able to recognize and escalate any
potential fraudulent activities. All issues related to any potential loss/misses or otherwise to be raised on urgent basis to immediate Supervisor.
Competencies
• Knowledge on Derivatives & Accounting • Strong communication • CMS, CANRS,
• Intermediate knowledge on MS Office skills skills CASCADE,
• Intermediate knowledge on the financial and • Email and Telephone • DTCC, DTC.hep,
securities market Etiquettes Bloomberg, AUTOPROC
• Should have knowledge on Corporate Actions • Analysis Skills & Green Database.
• Awareness of the trade and settlement cycles • Time Management
• MIS Reporting • Sound Judgement
• Knowledge on Bloomberg is preferred • Innovation & Problem
• Root Cause Analysis & Reporting solving
• Query management & understanding the impact • Risk Management
of the same • Interpersonal Skills

DSD CAMO - Grade G (Support) Back To Career Matrix
Role Summary
An individual is responsible for accurate & timely execution of new and updated corporate actions for US and non-US voluntary and mandatory
corporate actions and ensure processing & review of daily volume as assigned. For the three events: - Name change, Full call & CMO Final Pay down
Pune Camo team are responsible end-to-end. For these events notification involves event creation on CANRS and payments involve posting to CMS,
communicating the payments to the clients. Also, review of the scheduled reports: DTC New Announcement report, DTC New Redemptions, DTC
Updates and Bloomberg Report. Ensure daily task list are up to date. Ensure that all process updates are recorded and cascaded to team members
precisely and in a timely manner. Checking third party custody faxes for validating new or updates in corporate actions. All reporting deadlines as
agreed in SLD with respective departments, to be monitored and issues should be raised to immediate Manager. Staff needs to make sure that
accuracy and timeliness is maintained following the standard operating procedure along with exception investigation. Staff needs to assist team
members in resolving queries/client escalations. Update KPI/KRI on monthly basis. Periodically review standard operating procedure document and
make sure it is updated with changes. All process or people related issue need to be communicated to next level manager. Plan leaves for team and
take care of the backup for function.
Competencies
• Sound knowledge on Derivatives & Accounting • Strong communication skills • CMS, CANRS, CASCADE,
• Good MS Office skills • Email and Telephone • DTCC, DTC.hep, Bloomberg,
• Sound knowledge on the financial and securities market Etiquettes AUTOPROC & Green
• Good understanding of Corporate Actions • People Management skills Database.
• Reviewing of Domestic & Global CA announced in the • Work Allocation
market for middle office clients • Time Management
• Ensure all the Events & payments are Processed & Verified • Innovation & Problem
within TAT & Accuracy solving
• Work on Adhoc task/reports as and when required • Risk Management
• Knowledge on Bloomberg preferred • Interpersonal Skills
• MIS reporting to management • Timely escalations
• Root Cause Analysis & Reporting • Decision Making
• Query management & understanding the impact of the same

DSD OTC Pricing/Data Management & Quant Analysis

DSD OTC Pricing/Quants - Grade F (Support) Back To Career Matrix
Qualification Bachelor’s degree (Science/Engineering preferred),Post Graduate in Business is preferred.
Role Summary
The staff is responsible for performing valuation functions for OTC derivatives. It requires conducting various steps to evaluate derivative
securities. This position requires familiarity with various Microsoft office products and preferably some experience with financial securities. The
incumbent will be trained in financial instruments and Quantitative techniques. The staff will use his proven Excel skills to collect terms and
conditions for the instruments, extract current market data from various vendors. Staff will also perform the valuation processes on a daily basis.
Staff must be able to recognize and escalate any potential fraudulent activities. All issues related to any potential loss/misses or otherwise to be
raised on urgent basis to immediate Manager.
Competencies
• Basics of Accounting • Strong verbal and written • Proficiency in MS Office
• Life cycle of trade communication skills (excel in particular)
• Identification of Complex Break items and Resolution - • Email and Telephone • Exposure to Valuation
Root cause & NAV Impact Etiquettes Systems/Platforms(such
• Impact & processing of entries in accounting platform • Analysis Skills as Bloomberg, Reuters)
• Product knowledge & valuations of various products • Prioritization – Time • Exposure to Derivatives
• Basics of manual interest calculations on fixed income Management Life Cycle Management
products • Innovation & Problem • Exposure to Research
• Understanding of security setups and security specific solving Databases (such as
nuances • Change management Bloomberg or IDC)
• Portfolio Valuation & checks • Interpersonal Skills
• Performance fees methods • Timely escalations
• Trouble shooting on issues & understanding of their
NAV impacts

DSD OTC Pricing/Quants - Grade G (Individual Contributor) Back To Career Matrix
Experience 1-2 years of total work experience preferred; experience in quantitative analytics preferred.
Role Summary
An individual will be a member of Quant team within the OTC Derivatives Pricing Team in Pune. As member of quant team, the individual will be
responsible for valuation and risk analytics model development and validation of vanilla and exotic derivatives instrument across various assets
class and will be liaising with market data vendors for sourcing appropriate data. Staff will have to stay abreast with changes in valuation
methodology / market data employed to value derivative instruments and upgrade valuation model accordingly. Staff will be responsible for
model development, maintenance and model validation as a part of model lifecycle. Staff will play a key role in supporting pricing environments
for OTC valuation including market data and models, perform quantitative analysis of derivative products and liaise with technology teams to
develop appropriate systems. Staff will be involved in all aspects of day-to-day production valuations of select asset types, from start to close of
the global valuation day and will provide necessary client services including price challenges. The position involves interaction with many teams
across risk and control, lines of business and reporting groups. The ability to work efficiently and communicate effectively across these
boundaries will be one of the keys to success. Staff must be able to recognize and escalate any potential fraudulent activities. All issues related
to any potential loss/misses or otherwise to be raised on urgent basis to immediate Manager.
Competencies
• Proficiency in Excel/VBA Macros and MS Office • Strong verbal and written • Proficiency in Excel/VBA
• Hands-on experience in programming communication skills Macros and MS Office
languages and tools • Email and Telephone • Understand and able to
• Understand and able to implement Derivative Etiquettes implement Derivative
Pricing Models • Analysis Skills Pricing Models
• Identification of Complex Break items and • Prioritization – Time • Exposure to Valuation
Resolution - Root cause & NAV Impact Management Systems/Platforms(such
• Product knowledge & valuations of various • Innovation & Problem as Bloomberg, Reuters)
products solving • Exposure to OTC
• Change management Derivatives Life Cycle
• Interpersonal Skills Management
• Timely escalations • Exposure to Research
Databases (such as
Bloomberg or IDC)

DSD OTC Pricing/Quants - Grade G (Support) Back To Career Matrix
Role Summary
An individual is expected to understand the end-to-end valuation processes of all the assets within OTC Derivatives Pricing Team besides
performing valuation functions for OTC derivatives. It requires conducting various steps to evaluate derivative securities. This position requires
a comfortable familiarity with various Microsoft office products and good experience with financial securities. The staff will use his advance excel
skills to collect terms and conditions for the instruments, extract current market data from various vendors, perform data comparisons and
analysis. Staff will also perform the valuation processes on a daily basis. Staff must be able to recognize and escalate any potential
fraudulent activities. All issues related to any potential loss/misses or otherwise to be raised on urgent basis to immediate Manager.
Competencies
• Basics of Accounting • Strong verbal and written • Proficiency in MS Office
• Identification of Complex Break items and • Email and Telephone • Exposure to Valuation
Resolution - Root cause & NAV Impact Etiquettes Systems/Platforms(such
• Impact & processing of entries in accounting • Analysis Skills as Bloomberg, Reuters)
platform • Prioritization – Time • Exposure to Derivatives
• Product knowledge & valuations of various Management Life Cycle Management
products • Innovation & Problem • Exposure to Research
• Basics of manual interest calculations on fixed solving Databases (such as
income products • Change management Bloomberg or IDC)
• Understanding of security setups and security • Interpersonal Skills
specific nuances • Timely escalations
• Portfolio Valuation & checks
• Performance fees methods
• Trouble shooting on issues & understanding of
their NAV impacts

DSD OTC Pricing/Quants - Grade H (Individual Contributor) Back To Career Matrix
Experience 3-4 years of experience in similar business/industry preferred.
Role Summary
An individual will be responsible for valuation and risk analytics model development and validation of vanilla and exotic derivatives instrument
across various assets class and will be liaising with market data vendors for sourcing appropriate data. Staff will have to stay abreast with
changes in valuation methodology / market data employed to value derivative instruments and upgrade valuation model accordingly.
Knowledge of Financial Mathematical and Computational techniques, Statistics, knowledge of exotic options and their pricing is expected. Staff
will be responsible for model development, maintenance and model validation as a part of model lifecycle. Staff will play a key role in supporting
pricing environments for OTC valuation including market data and models, perform quantitative analysis of derivative products and liaise with
technology teams to develop appropriate systems. Staff will be involved in all aspects of day-to-day production valuations of select asset types,
from start to close of the global valuation day and will provide necessary client services including price challenges. The position involves
interaction with many teams across risk and control, lines of business and reporting groups. The ability to work efficiently and communicate
effectively across these boundaries will be one of the keys to success. Staff must be able to recognize and escalate any potential
Competencies
• Life cycle of trade • Strong verbal and written • Proficiency in MS Office
• Identification of Complex Break items and communication skills (Advance Excel in particular)
Resolution - Root cause & NAV Impact • Email and Telephone • Exposure to Accounting
• Impact & processing of OTC Derivatives Trade Etiquettes Platforms (such as
parameters • Analysis Skills IAS/Eagle/Summit)
• Product knowledge & valuations of various OTC • Prioritization – Time • Exposure to External Platforms
products (Standard & Exotic) Management (such as Bloomberg Terminal)
• Knowledge/ Liaising with Vendors on Trade • Innovation & Problem • Exposure to Bloomberg, Markit
setup and query resolution solving & Super Derivatives
• Understanding of security setups and security • Change management • System Knowledge of
specific nuances • Interpersonal Skills Derivative Pricing Exchange,
• Portfolio Valuation & checks • Timely escalations GTM, IAS, Xceptor & Webstp2.
• Knowledge of VBA Macros

DSD OTC Pricing/Quants - Grade H (Support) Back To Career Matrix
Qualification Bachelor’s degree (Engineering/Analytics Preferred) Post Graduate in Business is preferred.
Role Summary
Staff will have the ownership of preparation, review and sign-off of work completed by the Vendor Pricing Team. Best practice process
development. Leading client projects from an OTC team perspective. Staff will also perform the valuation processes on a daily basis. Staff must
be able to recognize and escalate any potential fraudulent activities. All issues related to any potential loss/misses or otherwise to be raised on
urgent basis to immediate Manager.
Competencies
languages and tools • Email and Telephone • Experience in implementing
• Understand and able to implement Derivative Etiquettes Derivative Pricing/Risk
Pricing Models • Analysis Skills Models
Resolution - Root cause & NAV Impact Management Systems/Platforms(such as
• Product knowledge & valuations of various • Innovation & Problem Bloomberg, Reuters)
products solving • Exposure to OTC Derivatives
• Change management Life Cycle Management
• Interpersonal Skills • Exposure to Research
• Timely escalations Databases (such as
Bloomberg or IDC)

DSD OTC Pricing/Quants - Grade I (Individual Contributor) Back To Career Matrix
Role Summary
The candidate will have ownership of all the work completed by the Vendor Pricing team within OTC Derivatives Pricing team. The incumbent
will be expected to be the primary point of contact for audit, client, compliance, management and trustee issues. The incumbent will raise all
relevant issues promptly to senior management. The incumbent will work with colleagues in other locations to ensure best practice items are
rolled out globally. The incumbent will work with the technology team to ensure all database developments are prioritized and successfully
launched in the live environment. The individual must be able to recognize and escalate any potential fraudulent activities. All issues related
to any potential loss/misses or otherwise to be raised on urgent basis to immediate Manager.
Competencies
languages and tools • Email and Telephone • Experience in
• Experience in implementing Derivative Etiquettes implementing Derivative
Pricing/Risk Models • Analysis Skills Pricing/Risk Models
Resolution - Root cause & NAV Impact Management Systems/Platforms(such
• Product knowledge & valuations of various • Innovation & Problem as Bloomberg, Reuters)
products solving • Exposure to OTC
• Change management Derivatives Life Cycle
• Interpersonal Skills Management
• Timely escalations • Exposure to Research
• Project Management Databases (such as
• Relationship management Bloomberg or IDC)
with Client, Vendor and
other stakeholders

DSD OTC Pricing/Quants - Grade I (Support) (PM) Back To Career Matrix
Experience 4-5 years of experience in similar business/industry preferred.
Role Summary
An individual is expected to have advanced hands on experience in Computational Mathematics and Statistics, good experience in Data
Analysis, Simulations and Other Quantitative areas. Staff will be responsible for valuation and risk analytics model development and
validation of vanilla and exotic derivatives instrument across various assets class and will be liaising with market data vendors for
sourcing appropriate data. Staff will have to stay abreast with changes in valuation methodology / market data employed to value
derivative instruments and upgrade valuation model accordingly. Staff will be responsible for model development, maintenance and
model validation as a part of model lifecycle. Staff will play a key role in supporting pricing environments for OTC valuation including
market data and models, perform quantitative analysis of derivative products and liaise with technology teams to develop appropriate
systems. Staff will be involved in all aspects of day-to-day production valuations of select asset types, from start to close of the global
valuation day and will provide necessary client services including price challenges. The position involves interaction with many teams
across risk and control, lines of business and reporting groups. Staff must be able to recognize and escalate any potential
Competencies
• Life cycle of trade • Strong verbal and written • People management • Proficiency in MS Office
• Identification of Complex Break items and communication skills skill. - Work allocation, (Advance Excel in particular)
Resolution - Root cause & NAV Impact • Email and Telephone Leave planning, backup • Exposure to Accounting
• Impact & processing of OTC Derivatives Trade Etiquettes planning, conflicts Platforms (such as
parameters • Analysis Skills management & capacity IAS/Eagle/Summit)
• Product knowledge & valuations of various OTC • Prioritization – Time planning etc. • Exposure to External
products (Standard & Exotic) Management • Ensures Accountability - Platforms (such as Bloomberg
• Knowledge/ Liaising with Vendors on Trade • Innovation & Problem Takes ownership of the Terminal)
setup and query resolution solving funds • Exposure to Bloomberg,
• Understanding of security setups and security • Change management • Drives Results Markit & Super Derivatives
specific nuances • Interpersonal Skills • Builds Effective Teams • System Knowledge of
• Portfolio Valuation & checks • Timely escalations • Developing Derivative Pricing Exchange,
• Liaising with clients to resolve trade breaks and Partnerships GTM, IAS, Xceptor &
with Auditors. Webstp2.
• Knowledge of VBA Macros

DSD OTC Pricing/Quants - Grade J (Management) Back To Career Matrix
Experience 5-7 years of total work experience in quantitative analytics and 1-2 experience in people management role preferred.
Role Summary
An individual is expected to have advanced hands on experience in Computational Mathematics and Statistics, good experience in Data Analysis,
Simulations and Other Quantitative areas. Staff will be responsible for valuation and risk analytics model development and validation of vanilla and
exotic derivatives instrument across various assets class and will be liaising with market data vendors for sourcing appropriate data. Staff will have to
stay abreast with changes in valuation methodology / market data employed to value derivative instruments and upgrade valuation model accordingly.
Staff will be responsible for model development, maintenance and model validation as a part of model lifecycle. Staff will play a key role in supporting
pricing environments for OTC valuation including market data and models, perform quantitative analysis of derivative products and liaise with technology
teams to develop appropriate systems. Staff will be involved in all aspects of day-to-day production valuations of select asset types, from start to close
of the global valuation day and will provide necessary client services including price challenges. The position involves interaction with many teams
across risk and control, lines of business and reporting groups. Update KPI/KRI on monthly basis. Track individual performance for team members and
provide regular feedback. Ensure that all SLA/SLD as agreed with key operations areas are adhered. Oversees implementation of new projects,
transitions and transformations are successfully executed. Oversee process trending around exception management, error management, maintain
related documents and provide process related enhancement to consistently make process better. Mentor, Groom and motivate staff so that the best
outcome can be derived. Take regular skip level meetings to understand process and people problem within function and address them effectively. Keep
close watch on customer voice to understand where business is standing and how it can be improved on performance and deliverables. Conduct
Performance Management Program for the team.
Competencies
• Proficiency in Excel/VBA Macros and MS • Strong verbal and written • People management skill. - • Proficiency in Excel/VBA
Office communication skills Work allocation, Leave Macros and MS Office
• Hands-on experience in programming • Email and Telephone Etiquettes planning, backup planning, • Experience in implementing
languages and tools • Analysis Skills conflicts management & Derivative Pricing/Risk
• Experience in implementing Derivative • Prioritization – Time Management capacity planning etc. Models
Pricing/Risk Models • Innovation & Problem solving • Ensures Accountability - • Exposure to Valuation
• Identification of Complex Break items and • Change management Takes ownership of the Systems/Platforms(such as
Resolution - Root cause & NAV Impact • Interpersonal Skills valuation deliverables Bloomberg, Reuters)
• Product knowledge & valuations of various • Timely escalations • Drives Results • Exposure to OTC Derivatives
products • Project Management • Builds Effective Teams Life Cycle Management
• Relationship management with • Developing Partnerships • Exposure to Research
Client, Vendor and other Databases (such as
stakeholders Bloomberg or IDC)

DSD OTC Pricing/Quants - Grade K (Management) Back To Career Matrix
Experience 5-7 years of total work experience in quantitative analytics and 1-2 experience in people management role preferred.
Role Summary
Staff will have the ownership of all the work completed by the OTC team and will play a key role in the establishment of a pricing environment for OTC
valuation including market data and models. Staff will provide leadership in quantitative analysis of derivative products and a technological vision to
develop appropriate systems. Staff will provide necessary client services including price challenges. Staff will be owner all the models used in OTC
Derivatives Pricing Team. Staff will be responsible to establish standards for model documentation and model valuation. Staff will respond to requests
from Risk Management, regulators and client audits. Staff will raise all relevant issues promptly to senior management. Staff will manage all aspects of
day-to-day production, from start to close of the global valuation day. Staff will work with the technology team to ensure all database developments are
prioritized and successfully launched in the live environment. Ensure that all SLA/SLD as agreed with key operations areas are adhered. Oversees
implementation of new projects, transitions and transformations are successfully executed. Oversee process trending around exception management,
error management, maintain related documents and provide process related enhancement to consistently make process better. Mentor, Groom and
motivate staff so that the best outcome can be derived. Take regular skip level meetings to understand process and people problem within function and
address them effectively. Keep close watch on customer voice to understand where business is standing and how it can be improved on performance
and deliverables. Conduct Performance Management Program for the team.
Competencies
• Proficiency in Excel/VBA Macros and • Strong verbal and written • People management • Proficiency in Excel/VBA
MS Office communication skills skill. - Work allocation, Macros and MS Office
• Hands-on experience in programming • Email and Telephone Etiquettes Leave planning, backup • Experience in implementing
languages and tools • Analysis Skills planning, conflicts Derivative Pricing/Risk Models
• Experience in implementing Derivative • Prioritization – Time Management management & capacity • Exposure to Valuation
Pricing/Risk Models • Innovation & Problem solving planning etc. Systems/Platforms(such as
• Identification of Complex Break items • Change management • Ensures Accountability - Bloomberg, Reuters)
and Resolution - Root cause & NAV • Interpersonal Skills Takes ownership of the • Exposure to OTC Derivatives
Impact • Timely escalations valuation deliverables Life Cycle Management
• Product knowledge & valuations of • Project Management • Drives Results • Exposure to Research
various products • Relationship management with • Builds Effective Teams Databases (such as
Client, Vendor and other • Developing Bloomberg or IDC)
stakeholders Partnerships

Corporate Trust

Click here for
Learning Pathway
Corporate Trust-Business Overview (1/2)
Corporate Trust (CT ) is a core Business of BNY Mellon which serves as trustee and/ or paying agent , globally to deliver the
full range of Issuer and related investor services across a wide array of programs and structures. In India, it spreads across
Pune and Chennai and supports global teams of Operations( US , EMEA and APAC ) and Analytics
Operations
Operations US team supports Corporate Trust with loan/bond data entry for new issuances which include recordkeeping services,
collateral for non-government offshore-approved clients, updates debt holders’ profiles on various databases, updating balances on
control book in different databases, processes internal/external cash movements between BNY Mellon accounts and several clients,
verifies bond/ownership transfers, and confirms payments received for global current day cash processing, validates survivor options
documents, updating interest rate, fixed versus floating and maturity date information on various databases which allows for authorization
of transfers/payments to beneficiaries and to the third parties, servicing a variety of funds built upon strategies that including : long/short
equity, managed futures, fixed income, global macro, event driven, etc. BNY CT supports AIS to process the wire (Cash) transfer request
received from AIS Clients as per the requirement received from the clients.
Operations US is also responsible for monitoring the receipt of funds from issuers and applying payments received to the client’s account,
file maintenance, mailbox management and distribution/circulation of rates spreadsheet for Variable rate paying deals, processing
custody activities e.g., trade processing and verification/settlement of securities including buying and selling sides.
EMEA Operations provides issuing agency (including set up and settling of trades with ICSD’s); paying agency (updating interest rate,
rollover, fixed versus floating, chasing for interest rates and maturity date information on various databases); issuer and note holder
options (updating interest and early redemption, repurchase, transfers and share delivery information); common depository (updating
interest and redemption details, mark ups/downs of securities, payment in shares on Gdoasis). Payments are confirmed to ICSD’s via
pre-advice/Merva
The APAC Pune team provides onboarding, maintenance and administration services including payments/trades processing to onshore
business located at Hong Kong, Singapore, Sydney, & South Korea. Since the team works in a functionalized manner, every team
member is capable of performing all assigned business functions

Corporate Trust-Business Overview (2/2)
Collateralized debt obligation (CDO) team supports Corporate Trust in the daily cash reconciliation processes for CDO deals,
modeling payment structures, asset administration and reconciliation of holdings of all assets in CDO deals between BNY Mellon and
client records. This team supports both U .S. and EMEA
QSR management team supports Corporate Trust with bond products including asset-backed security(ABS) and mortgage-backed
security(MBS) bonds, by performing cash and custody reconciliations, generation of pricing reports and principal and interest payment
schedule creation
Deal lifecycle management team (DLM) team, assists with onboarding support, maintenance and termination of accounts. Additionally
they assist in cash, position, Principal and Income break resolutions in Eagle systems
Doc Custody : Document Custody team in India is involved in reviewing of collateral loan documents, releasing loan documents to
client’s, test applications based on predefined test script and provide reports on the status of the collateral loans to internal and external
client’s. The work is performed based on viewing of images of these documents via SmartDocs/Nexen workflow. The process went live on
22June2018. Doc Custody team operates from 4 locations Pune, Chennai, Dallas and Pittsburgh.
Analytics : CT Analytics Pune is responsible for setting up deals on standard , approved platforms & templates and developing Cash flow
Models , servicer data management & Bond Admin services for Pay cycle , Document review , Platform validation & Migration of deals
to new platform , Develop Shadow models and Shadow run to verify bond payments , deal maintenance services with deal specific
amendments , resolving client queries and generating Investor Reports for Global Structured Finance groups like CDO , MBS , ABS
and Specialty – Housing, Pooled Finance, Project Finance and any other revenue Bonds. Pune Analytics extends support to US and
EMEA regions.
In addition , Model Validation support to validate the existing models in the system as per the legal documents , UDT
Development/Maintenance/Governance /remediation and Analytical Solutions to adhoc requests from CT business have also been
provided.
SPS Accounting Team is responsible for daily/monthly accounting, Reconciliation & reporting of Structured Portfolio for the CT Dublin
clients and quarterly FVC (Financial Vehicle Corporation) to the ECB (European Central Bank) for a number of CT Dublin accounting
clients.

CT Career Matrix – Diverse & Complex Process (1/2)
Legend
Roles exists on the Job family/
outside India

Group Manager, Lead Manager,
(L-Management) (K-Management)
Lead Manager, Manager, Manager, Manager,
(K-Management) (J-Management)
Manager, Manager,
Manager, Team Lead, Team Lead, Team Lead,
(J-Management) (I-Support) (I-Support) (I-Support)
Team Lead, Team Lead,
(I-Support) (I-Support) Lead Lead
Job Complexity
Team Lead, Lead

(I-IC) Lead Lead (H-Support) (H-Support) (H-Support)
(H-Support) (H-Support) Senior Senior Senior
Lead Analyst,
Representative, (G- Representative, (G- Representative, (G-
(H-Support) Support) Support)
Senior Senior Support)
Representative, (G- Representative, (G-
Senior Support) Support) Intermediate Intermediate Intermediate
Representative, Analyst, (G-IC) Representative, Representative, Representative,
(G-Support) Intermediate Intermediate (F-Support) (F-Support) (F-Support)
Intermediate (F-Support) (F-Support)
Representative, Asset Admin ( Representative, Representative, Representative,
(E-Support) (E-Support) (E-Support)
(F-Support) Representative,
CDO) Representative,
Representative, EMEA Ops NA Ops CT APAC
(E-Support)
Asset Admin Cash Reconciliation
Doc Custody (CDO) (CDO) - US & EMEA
To be continued…
Diverse & Complex Process/ Product

Navigation
Functional

Cross


Group Manager,
(L-Management)
CT Career Matrix – Diverse & Complex Process (2/2)
Lead Manager,
(K-Management)
Manager,
Lead Manager, (J-Management)
(K-Management) Lead Manager,
(K-Management)
Team Lead,
Manager, (I-Support)
Manager, Lead Analyst
(J-Management)
(J-Management) (I-IC)
Senior Analyst,
Team Lead, (H-IC) Senior Analyst,
Team Lead, Team Lead,
(I-Support) FR,
(I-Support) (I-Support) (H-IC)
Analyst , (G-IC)
Lead Lead Lead Analytics
Job Complexity

(H-Support) (H-Support) (H-Support) Intermediate
Representative,
Senior Senior Senior (F-Support)
(G-Support) (G-Support) (G-Support)
Analyst / (G-IC) Analyst / (G-IC) Representative,
Intermediate Intermediate Intermediate (E-Support)
(F-Support) DLM (Client (F-Support) DLM (Recon) (F-Support) Analytics
Onboarding &
Representative, DLM/ QSR CFM
Processing )
(E-Support) (Recon)
DLM (Client
Onboarding &
Processing )
Legen
d
Roles exists on the Job family/
outside India
Diverse & Complex Process/ Product

Navigation
Functional

Cross


Corporate Trust Global Job Codes at a glance :

70130 Representative, Data Management & Quantitative Analysis Support
70129 Intermediate Representative, Data Management & Quantitative Analysis Support
70128 Analyst, Data Management & Quantitative Analysis Individual Contributor
70127 Senior Analyst, Data Management & Quantitative Analysis Individual Contributor
70495 Senior Analyst, Fund Reporting Individual Contributor
70657 Team Lead, Data Management & Quantitative Analysis Support
70089 Representative, Client Onboarding/Transitions/Conversions/KYC Support
70088 Intermediate Representative, Client Onboarding/Transitions/Conversions/KYC Support
70087 Analyst, Client Onboarding/Transitions/Conversions/KYC Individual Contributor
70475 Intermediate Representative, Document Custody Support
70473 Senior Analyst, Document Custody Individual Contributor
70472 Lead Analyst, Document Custody Individual Contributor
70469 Lead Manager, Document Custody Management
70601 Lead Manager , Client Processing Management

Growth Matrix :
Representative
Representative
Representative
Intermediate (F-Support) (F Support)
Client (E-Support)
Representative Client
(F-Support) ProcessingReconciliation
Onboarding/Tr
Reconciliation ansitions/Conv
ersions/KYC
Representative
Representative Representative (E Support)
(E-Support) Client
Intermediate
Client (E-Support) Onboarding/Tr Representative
Representative
Processing Reconciliation ansitions/Conv (E Support) Data
(F-Support) ersions/KYC Management &
Reconciliation Quantitative
Analysis
Intermediate
Representative
Representative
(F Support) Client
(E Support)
Representative DataOnboarding/Tran
sitions/Conversio
(E Support)Management &
Client Quantitative ns/KYC
Onboarding/Tra Analysis
nsitions/Conver
sions/KYC

CT & CT Analytics - Cross Functional Career Matrix (1/2)
Reconciliations DSD –Reconciliation IVC, IPG, Settlements GFASS & FA TCM – TCM
Instructions
EMEA TA – Reconciliation DSD -Custody Processing EMEA TA - Client Processing

AIS - Recon Processes under CT & CT
Analytics
MOO - Reconciliation MOO -Trade Processing USTA - Client Processing Processes across functions
Reconciliation
GFASS & FA TCM - Investor
Services
further details
Cash Click on “CT & CT Analytics” in

Reconciliation Asset Admin cross-functional Navigation to
(CD0) - US & (CDO) come back to this page
EMEA
IVC, IPG, Settlements NA Ops EMEA Ops IVC, IPG, Settlements
DSD -Custody Processing Doc Custody DSD -Custody Processing
Treasury Services -Cash Operations Treasury Services -Cash Operations
MOO -Trade Processing MOO -Trade Processing
GIA - GIA Support
Client Activation - Client Data

operations and control

CT & CT Analytics - Cross Functional Career Matrix (2/2)
Reconciliations DSD –Reconciliation

Instructions
DSD -OTC Pricing/Data
Management/Quant Analysis Processes under CT & CT
AIS - Recon EMEA TA – Reconciliation Analytics
SDM - Security Master File / Pricing Processes across functions
Reconciliation

GIA - Reconciliation - GIA & Global Click on each process for
Services
further details
Click on “CT & CT Analytics” in

DLM/QSR cross-functional Navigation to
Analytics
(Recon) come back to this page
DLM ( Client
Onboarding & CFM -TA
Processing) DSD -Custody Processing
Billing-Account Setup
CT APAC
Client Activation -Account Activation Treasury Services -Cash Operations
EMEA TA - Investor Services Portfolio Services - Corporate

Actions & Income

Treasury Services -Cash
Operations
DSD -Custody GFASS & FA TCM –

Processing TCM
EMEA TA - Client
Processing

Corporate Trust
Doc Custody

Doc Custody – Representative - Grade E (Support track)
Experience 0-1 years of total work experience preferred; experience in financial industry preferred.
Role Summary
Reviewing of collateral loan documents, releasing loan documents to client’s, test applications based on predefined test script
and provide reports on the status of the collateral loans to internal and external clients
Competencies
Technical/ Functional Professional Leadership Systems & Certifications

NA • Good verbal and written NA NA

Doc Custody – Senior Representative - Grade G (Support track)
Qualification Bachelor’s degree (Commerce preferred) ; Post Graduate in Business is preferred.
Experience 4-5 years of total work experience is preferred with at least 1-2 years in people management
Role Summary
Supervises staffs and responsible for allocating and performing Quality check of work performed by the
team members. Responsible for the quality and timely completion of own & team’s work. Maintains procedures in accordance
with applicable regulations and policies, ensuring regulatory compliance and minimizing exposure related to assigned
processing tasks.
Competencies
Experience of Banking • Strong verbal and written • People management skill.
Operations is required communication skills - Work allocation, Leave Proficiency in MS Office (excel in
• Analysis Skills planning, backup particular)
• Prioritization – Time planning, conflicts
Management management & capacity
• Innovation & Problem planning etc.
solving • Ensures Accountability -
• Change management Takes ownership of the
• Interpersonal Skills work
• Timely escalations • Drives Results
• Awareness and • Builds Effective Teams
understanding about Risk & • Developing Partnerships
Control • Coaching and feedback

Doc Custody – Manager, Client Processing - Grade J (Management track)

7+ years of work experience along with 3 + years in people management experience preferred; experience in
Experience the securities or financial services industry a plus. Applicable local/regional licenses or certifications as
required by the business
Role Summary
Supervises staff responsible for document custody. As a resource to document custody support staff, ensures proper policies
and practices are followed for review of client collateral documents . Implements control practices to minimize the information
risks inherent in the process. Ensures that client requests are serviced quickly and thoroughly when documents are requested.
Competencies
• Working Experience of banking • Strong verbal and written • People management skill. - • Proficiency in MS Office
operations is required; Should communication skills Work allocation, Leave (excel in particular)
know KPI,KRI, SLA and audit • Decision Making planning, backup planning,
related details • Analysis Skills conflicts management &
• Experience in the securities or • Innovation & Problem capacity planning etc.
financial services industry a solving • Ensures Accountability -
plus. Applicable local/regional • Change management Takes ownership of the funds
licenses or certifications as • Interpersonal Skills • Drives Results
required by the business • Awareness and • Builds Effective Teams
understanding about • Developing Partnerships
Risk & Control • Digital acumen
• Experience in managing • Drive Innovation
people managers • Budget planning
• Coaching and feedback

Corporate Trust
Asset Admin Team

Asset Admin- Representative - Grade E (Support track) Back to Career Matrix
Qualification Bachelors degree or the equivalent combination of education and experience is required
Experience 2-3 years of total work experience preferred. Experience in brokerage processing preferred
Role Summary
Provides quality client service and support to internal clients and occasionally external clients on a daily basis, including phone
interaction, problem resolution and account transaction processing in a timely manner.
Competencies

• Basics of Accounting • Strong verbal and written NA • Proficiency in MS Office
• Knowledge of products such as Loan • Email and Telephone • Exposure to WSO, Solvas,
Syndication, Direct Lending, Bonds, Etiquettes Bloomberg / IDC
Equities, FX, Mortgage & Infra Loans, • Analytical Skills • Know how of Rating
Term Deposits, Funds, etc • Time Management Agencies and ratings
• Intermediate math skills, calculate • Innovation & Problem
interest and percentages solving approach Good to have certification :
• Accurately prepares all loan contracts • Change management Basics of Investment Bank
and documentation required to perfect • Interpersonal Skills
the Banks’ security interest in collateral, • Intermediate typing skills
ensuring compliance with state laws, to meet production needs
regulatory agencies, banks internal of the position.
procedures and policy requirements.

Asset Admin- Intermediate Representative - Grade F (Support track)
Qualification Bachelors degree or the equivalent combination of education and experience is required.
Experience 3-5 years of total work experience preferred. Experience in brokerage processing preferred.
Role Summary
Applies expertise and judgement in providing quality, and occasionally complex client service and support to internal and
external clients on a daily basis, including phone interaction, problem resolution, transaction processing (i.e., STP, manual),
reconciliations and accounting services, and updates to client accounts in a timely manner.
Competencies

• Basics of Accounting • Strong verbal and written NA • Proficiency in MS Office
• Knowledge of products such as Loan • Email and Telephone Etiquettes • Exposure to WSO, Solvas,
Syndication, Direct Lending, Bonds, • Analytical Skills Bloomberg / IDC
Equities, FX, Mortgage & Infra Loans, • Time Management • Know how of Rating Agencies
Term Deposits, Funds, etc • Innovation & Problem solving and ratings
• Intermediate math skills, calculate approach
interest and percentages • Innovation & Problem solving Good to have certification :
• Accurately prepares all loan contracts approach Basics of Investment Bank
and documentation required to perfect • Change management
the Banks’ security interest in • Interpersonal Skills
collateral, ensuring compliance with • Training - Guide the staff; prioritize
state laws, regulatory agencies, banks assignments as the issues or
internal procedures and policy significance
requirements. • Intermediate typing skills to meet
production needs of the position.

Asset Admin- Senior Representative - Grade G (Support track) Back to Career Matrix
5-7 years of total work experience preferred. Experience in brokerage processing preferred. Applicable
Experience
Role Summary
Applies expertise and judgement in providing quality, and complex client service and support to internal and external clients on
a daily basis, including phone interaction, problem resolution, transaction processing (i.e., STP, manual), reconciliations and
accounting services, and updates to client accounts in a timely manner.
Competencies
• Basics of Accounting • Strong verbal and written • Minimum 2-3 year • Proficiency in MS Office
• Life cycle of trade communication skills experience as a PM (excel in particular)
• Knowledge of products such as Loan • Email and Telephone who should have • Exposure to WSO,
Syndication, Direct Lending, Bonds, Etiquettes performed appraisal for Solvas, Bloomberg / IDC
Equities, FX, Mortgage & Infra Loans, • Analytical Skills the team • Know how of Rating
Term Deposits, Funds, etc • Time Management • End to end process Agencies and ratings
• Intermediate math skills; calculate • Innovation & Problem solving knowledge (SME)
interest and percentages approach • Proposing new • Good to have : CISI
• Accurately prepares all loan contracts • Change management changes / process Certifications - Level 1
and documentation required to perfect • Interpersonal Skills improvements & (basic); Level 2
the Banks’ security interest in • Training - Guide the staff; driving the change (regulations) and Level 3
collateral, ensuring compliance with prioritize assignments as the • Even Work allocation (specialization - such as
state laws, regulatory agencies, banks issues or significance asset management ,
internal procedures and policy • Intermediate typing skills to operational risk).
requirements. meet production needs of the
position

Asset Admin- Senior Representative-Grade G (IC track) Back to Career Matrix
5-7 years of total work experience preferred. Experience in brokerage processing preferred. Applicable
Experience
Role Summary
Performs routine and non-routine client service and transactional support functions. Interacts with other organizational
units/teams to ensure timely delivery of service, or resolution of issues.
Competencies

• Basics of Accounting • Strong verbal and written NA • Proficiency in MS Office (excel
• Life cycle of trade communication skills in particular)
• Knowledge of products such as Loan • Email and Telephone • Exposure to WSO, Solvas,
Syndication, Direct Lending, Bonds, Etiquettes Bloomberg / IDC
Equities, FX, Mortgage & Infra Loans, • Analytical Skills • Know how of Rating Agencies
Term Deposits, Funds, etc. • Time Management and ratings
• Intermediate math skills, calculate • Innovation & Problem solving
interest and percentages approach • Good to have : CISI
• Accurately prepares all loan contracts • Change management Certifications - Level 1 (basic);
and documentation required to perfect • Interpersonal Skills Level 2 (regulations) and Level
the Banks’ security interest in collateral, • Training - Guide the staff; 3 (specialization - such as
ensuring compliance with state laws, prioritize assignments as the asset management ,
regulatory agencies, banks internal issues or significance operational risk).
procedures and policy requirements. • Supervisor skills;Intermediate
typing skills to meet production
needs of the position.

Asset Admin- Manager - Grade J (Management track) Back to Career Matrix
Qualification Bachelor’s degree (Commerce preferred); Post Graduate in Business is preferred.

7+ years of work experience along with 3 + years in people management experience preferred; experience
Experience in the securities or financial services industry a plus. Applicable local/regional licenses or certifications as
Role Summary
Supervises a small to medium-sized Client Processing support team that handles any/all aspects of client accounts, including
solicitation, inquiries, transactional processing and problem resolution.
Competencies
• Working Experience of • Strong verbal and written • People management skill. - Proficiency in MS Office (excel
banking operations is communication skills Work allocation, Leave in particular)
required; Should know • Decision Making planning, backup planning,
KPI,KRI, SLA and audit • Analysis Skills conflicts management & Good to have : CISI
related details • Innovation & Problem capacity planning etc. Certifications - Level 1 (basic);
• Experience in the securities solving • Ensures Accountability - Level 2 (regulations) and
or financial services industry • Change management Takes ownership of the Level 3 (specialization - such
a plus. Applicable • Interpersonal Skills funds as asset management ,
local/regional licenses or • Awareness and • Drives Results operational risk).
certifications as required by understanding about Risk • Builds Effective Teams
the business & Control • Developing Partnerships
• Experience in managing • Digital acumen
people managers • Drive Innovation
• Budget planning

CT – Lead Manager - Grade K (Management track)
Qualification Qualification- Graduation in any stream (BSc, BCom, BE + MBA (Finance)/CFA/FRM

10+ years of experience as a people manager/functional manager, preferably from an investment banking
Experience
domain
Role Summary
Manages a small to medium Client Processing team that handles any/all aspects of client accounts, including solicitation,
inquiries, transactional processing and problem resolution.
Competencies

• Working Knowledge of • Strong verbal and written • 10 years of experience of • Proficiency in MS Office
Debt market and a good communication skills leading functional teams. (Excel, PowerPoint, Word,
understanding of • Email and Telephone Stakeholder management, Outlook)
Forex/Payment/ Trades/ Etiquettes project management, Risk & • Good to have : Project
Reconciliations • Analysis Skills control management skills , management, Scrum
• Prioritization – Time fulfill administrative certification, SQL, VB
Management responsibilities, appraisals. certifications
solving

Corporate Trust
Cash Reconciliation ( US & EMEA)

Reconciliation (US & EMEA) - Representative - Grade E (Support track) Back to Career Matrix
Qualification Bachelors / Post Graduation degree (Bcom / MBA) Preferred
Experience 1-2 years total work experience with basic capital markets knowledge
Role Summary
Performs daily reconciliations, deciphering basic exceptions between systems, clients, institutions, etc. for securities, cash
and/or derivatives; processes client accounts. Focus is on learning the reconciliation process
Competencies

• Basic Capital Markets. • Strong verbal and NA • MS Office (excel,
• Basics of Reconciliations (added advantage) written communication PowerPoint, Word,
• Basic skills in MS Office & Email etiquettes. skills. Outlook)
• Email and Telephone • Exposure to Research
Etiquettes. Databases (such as
• Interpersonal Skills Bloomberg and EUCLID)
• Time Management.

Reconciliation (US & EMEA) – Intermediate Representative - Grade F (Support track)
Qualification Bachelors / Post Graduation degree (Bcom / MBA) Preferred

2- 3 years total work experience with basic capital markets knowledge. Reconciliations Experience will be an
Experience
added advantage
Role Summary
Performs daily reconciliations, deciphering moderately complex exceptions between systems, clients, institutions, etc. for
securities, cash and/or derivatives; processes client accounts.
Competencies

• Basics of Capital Markets • Strong verbal and • NA • MS Office (excel,
• Basics of Reconciliations (added written communication PowerPoint, Word,
advantage) skills. Outlook)
• Should have experience in reviewing • Email and Telephone • Exposure to Research
functional tasks Etiquettes Databases (such as
• Basic skills in MS Office & Email etiquettes • Analytical Skills Bloomberg and EUCLID)
• .Reviewing SOP's & providing Process • Time Management • Working Knowledge of
improvements • Interpersonal Skills Bloomberg, Nexen,
Euroclear, WSO, GCM

Reconciliation (US & EMEA) Senior Representative - Grade G (Support track) Back to Career Matrix
Qualification Bachelors / Post Graduation degree (Bcom / MBA) Preferred.

4-6 years total Work experience with good Capital Markets knowledge. Prior reconciliations knowledge
Experience preferred. Should have handled a team for a minimum of 2 years (Should have Conducted appraisal for
the team)
Role Summary
Performs analysis of reconciliations, or in some areas of the organization may serve in a lead capacity. Deciphers complex
exceptions between systems, clients, institutions, etc. for securities, cash and/or derivatives; processes client accounts.
Reviews work performed by more junior levels.
Competencies
• Good knowledge of Capital Markets • Strong verbal and written • Minimum 2-3 year • Proficiency in MS Office
(Preferred) communication skills experience as a PM (excel, PowerPoint, Word,
• Basics of Reconciliations (added • Email and Telephone who should have Outlook)
advantage) Etiquettes performed appraisal • Exposure to Research
• Team Handling skills • Analytical skills are essential for the team Databases (such as
• Good skills in MS Office & Email to find out ways for process • End to end process Bloomberg and EUCLID)
etiquettes improvements. knowledge (SME) • Working Knowledge of
• SOP's adherence • Prioritization – Time • Proposing new Bloomberg, Nexen,
• Error / Trend Analysis Skills Management, work changes / process Euroclear, WSO, GCM
• Metrics reporting management. improvements &
• Innovation & Problem solving. driving the change
• Change management • Even Work
• Interpersonal Skills allocation
• Leadership skills
• Planning & Organizing

Reconciliation – Manager, Client Processing - Grade J (Management track)

Role Summary
Responsible for large strategic projects impacting multiple departments and/or locations. Completes the most complex data
analysis of reconciliations and leads engagements across business areas. Executes on the recommendations of root cause
analysis analyzed by junior staff. Supervises technical testing and the implementation of reconciliation software. May
allocate/coordinate work within a team.
Competencies
• Working Experience of • Strong verbal and written • People management skill. - • Proficiency in MS Office
banking operations is communication skills Work allocation, Leave (excel in particular)
required; Should know • Decision Making planning, backup planning, • Proficiency in MS Office
KPI,KRI, SLA and audit • Analysis Skills conflicts management & (excel, PowerPoint, Word,
related details • Innovation & Problem capacity planning etc. Outlook)
• Experience in the solving • Ensures Accountability - Takes • Exposure to Research
securities or financial • Change management ownership of the funds Databases (such as
services industry a plus. • Interpersonal Skills • Drives Results Bloomberg and EUCLID)
Applicable local/regional • Awareness and • Builds Effective Teams • Knowledge of Bloomberg,
licenses or certifications understanding about Risk & • Developing Partnerships Nexen, Euroclear, WSO,
as required by the Control • Digitial acumen GCM
business • Experience in managing • Drive Innovation
people managers • Budget planning

Corporate Trust
EMEA Operations Team

EMEA Operations – Representative - Grade E (Support track) Back to Career Matrix
Bachelor’s degree (preferably commerce) or the equivalent combination of education and experience is
Qualification
required.
Experience 1-2 years of total work experience preferred; experience in financial services preferred
Role Summary
interaction, problem resolution and account transaction processing in a timely manner
Competencies

• Basics of Capital Markets • Strong verbal and written NA • Basic skills in MS Office
• Some knowledge of Debt Market communication skills
• Email and Telephone Etiquettes
• Analysis Skills
Management
• Innovation & Problem solving

EMEA Operations – Intermediate Representative - Grade F (Support Back to Career Matrix
track)
Qualification
required.
Experience 2-3 years of total work experience preferred; experience in financial services preferred
Role Summary
Competencies
• Basics of Capital Markets • Strong verbal and written NA. • Basic skills in MS Office
• Some knowledge of Debt Market communication skills
• Email and Telephone
Etiquettes
• Analysis Skills
Management
solving

EMEA Operations – Senior Representative - Grade G (Support Back to Career Matrix
track)
Qualification
required.
4-5 years of total work experience and at least 0-1 years of management experience preferred. Applicable
Experience local/regional licenses or certifications as required by the business. Experience in financial
services preferred.
Role Summary
Competencies
Systems &
Technical/ Functional Professional Leadership
Certifications
• Good knowledge of Capital Markets • Strong verbal and • People management • Proficiency in MS Office
(Preferred) written communication skill. - Work allocation,
• Team Handling skills skills Leave planning, backup
• Good skills in MS Office & Email etiquettes • Email and Telephone planning, conflicts
• SOP's adherence Etiquettes management & capacity
• Error / Trend Analysis Skills • Analysis Skills planning etc.
• Metrics reporting • Prioritization – Time • Ensures Accountability -
Management Takes ownership of the
• Innovation & Problem funds
solving • Drives Results
• Change management • Builds Effective Teams
• Interpersonal Skills • Developing Partnerships

EMEA Operations – Manager - Grade J (Management track) Back to Career Matrix
Qualification
required.
Experience local/regional licenses or certifications as required by the business. Experience in financial services
preferred.
Role Summary
Competencies
• Strong Knowledge on the • Strong verbal and written • People management • Proficiency in MS Office
Operations functions communication skills skill. - Work allocation, (excel, PowerPoint, Word,
• Working Experience of banking • Email and Telephone Leave planning, backup Outlook)
operations is required; Should Etiquettes planning, conflicts
know KPI,KRI, SLA and audit • Analysis Skills management & capacity
related details • Prioritization – Time planning etc.
• Experience in the securities or Management • Ensures Accountability -
financial services industry a plus. • Innovation & Problem Takes ownership of the
Applicable local/regional licenses or solving funds
certifications as required by the • Change management • Drives Results
business • Interpersonal Skills • Builds Effective Teams
• Timely escalations • Developing
Partnerships

Corporate Trust
NA Operations Team

NA Operations– Representative - Grade E – 70611 (Support track) Back to Career Matrix
0-1 years of total work experience preferred; experience in accounting support or the mutual fund industry
Experience
preferred.
Role Summary
Provides quality client service and support to internal clients and occasionally external clients on a daily basis, including
phone interaction, problem resolution and account transaction processing in a timely manner.
Competencies

• Basics of Accounting & Capital Market • Good verbal and written • NA • Basic System knowledge
Knowledge communication skill (MS Office)

NA Operations – Intermediate Representative - Grade F (Support track) Back to Career Matrix
3-5 years of total work experience preferred. Experience in Capital Markets & Financial products knowledge
Experience
must.
Role Summary
Competencies

• Basic Accounting and Strong product • Strong verbal and written • NA • Good System knowledge
knowledge, Should have good communication skills (MS Office)
knowledge in Trade life cycle. Should • Email and Telephone
know KPI,KRI, SLA and audit related Etiquettes
details • Analysis Skills
Management

NA Operations – Senior Representative - Grade G (Support track) Back to Career Matrix
Role Summary
Competencies
• Strong Accounting and product knowledge, • Strong verbal and • People management • Good System knowledge
Should have good knowledge in Trade life written communication skill. - Work allocation, (MS Office)
cycle. Should know KPI,KRI, SLA and audit skills Leave planning,
related details. • Email and Telephone backup planning,
Etiquettes conflicts management
• Analysis Skills & capacity planning
• Prioritization – Time etc.
Management • Ensures
• Innovation & Problem Accountability - Takes
solving ownership of the
• Change management funds
• Interpersonal Skills • Drives Results
• Timely escalations • Builds Effective
Teams
• Developing
Partnerships

NA Operations – Lead Representative - Grade H (Support track) Back to Career Matrix
Role Summary
Serves as a lead for the day-to-day operations of a small- to medium-sized client processing support team, providing work
direction and technical assistance on complex matters.
Competencies

• Strong Accounting and product • Strong verbal and written • People management • Good System knowledge
knowledge, Should have good communication skills skill. - Work allocation, (MS Office)
knowledge in Trade life cycle. Should • Email and Telephone Leave planning, backup
know KPI,KRI, SLA and audit related Etiquettes planning, conflicts
details. • Analysis Skills management & capacity
• Prioritization – Time planning etc.
Management • Ensures Accountability -
• Innovation & Problem Takes ownership of the
solving funds
• Change management • Drives Results
• Interpersonal Skills • Builds Effective Teams
• Timely escalations • Developing
Partnerships

NA Operations – Manager - Grade J (Management track) Back to Career Matrix
Qualification
required.
Experience local/regional licenses or certifications as required by the business. Experience in financial services
preferred.
Role Summary
Competencies
• Strong Knowledge on the Operations • Strong verbal and written • People management • Proficiency in MS Office
functions communication skills skill. - Work allocation, (excel, PowerPoint, Word,
• Working Experience of banking • Email and Telephone Leave planning, Outlook)
operations is required; Should know Etiquettes backup planning,
KPI,KRI, SLA and audit related • Analysis Skills conflicts management
details • Prioritization – Time & capacity planning
• Experience in the securities or Management etc.
financial services industry a plus. • Innovation & Problem • Ensures Accountability
Applicable local/regional licenses or solving - Takes ownership of
certifications as required by the • Change management the funds
business • Interpersonal Skills • Drives Results
• Timely escalations • Builds Effective Teams
• Developing
Partnerships

Corporate Trust
CT APAC

APAC– Representative - Grade E (Support track) Back to Career Matrix
Experience 1-2 Years of total work experience in a financial domain.
Role Summary
interaction, problem resolution and account transaction processing in a timely manner.
Competencies

• Basics of Client onboarding , KYC, Due • Strong verbal and • NA • MS Office, Outlook, WRT,
Diligence, client termination activities., written communications. Transtar, IMMS, GSP,
Réconciliations, Trade & Payment Goldtier
processing.
• MS Office
• Good email etiquettes.

APAC– Intermediate Representative - Grade F (Support track) Back to Career Matrix
2-3 Years of total work experience in a financial domain with hands on experience in performing
Experience
transactional reviews.
Role Summary
Competencies
• Basics of Client onboarding , KYC, Due • Strong verbal and • NA • MS Office, Outlook, WRT,
Diligence, client termination activities., written communications. Transtar, IMMS, GSP,
Reconciliations, Trades & Payment Goldtier
processing.
• MS Office

APAC– Senior Representative - Grade G ( Support track)
Experience 3-4 years of total work experience in a financial domain with experience as a SME.
Role Summary
Competencies
• Basics of Client onboarding , KYC, Due • Strong verbal and written • Good feedback skills. • MS Office, Outlook, WRT,
Diligence, client termination activities., communications. Transtar, IMMS, GSP,
Reconciliations, Trades & Payment Goldtier
processing.
• Functional SME.
• MS Office,
• Metrics reporting.

APAC– Lead Representative - Grade H (Support track)
Qualification Bachelors degree or the equivalent combination of education and experience is required. MBA preferred.
3-4 years of total work experience as a PM in a financial domain with experience in handling functional
Experience
activities as well.
Role Summary
Competencies

• Basics of Client onboarding , KYC, Due • Strong verbal and written • Minimun 3-4 year • MS Office, Outlook, WRT,
Diligence, client termination activities., communication skills experience as a PM Transtar, IMMS, GSP,
Reconciliations, Trades & Payment • Email and Telephone who should have Goldtier
processing. Etiquettes performed appraisal
• Functional SME. • Analytical Skills for the team
• MS Office, • Time Management • End to end process
• Good email etiquettes. • Innovation & Problem knowledge (SME)
• Metrics reporting. solving approach • Proposing new
• Change management changes / process
• Interpersonal Skills improvements &
• Leadership skills driving the change
• Planning & Organizing • Even Work allocation

Corporate Trust
DLM

DLM - Client Onboarding & Processing - Representative - Grade E (Support track)
Role Summary
Supports client onboarding/transition/conversion projects by performing a set of basic operational activities.
Competencies

Basics of recons./ Break Resolutions Strong verbal and NA MS Office, Outlook, Ensis
Functional SME. written communications.
MS Office,
Good email etiquettes.
Metrics reporting.

DLM - Client Onboarding & Processing – Intermediate Representative - Grade F (Support
track)
2-3 Years of total work experience in a financial domain with hands-on experience in performing
Experience
transactional reviews.
Role Summary
Competencies

• Basics of Client onboarding , KYC, Due • Strong verbal and NA • MS Office, Outlook,
Diligence, client termination activities. written communication Bloomberg
• MS Office, skills.

DLM - Client Onboarding & Processing – Senior Representative - Grade G (Support track)
Experience
activities as well.
Role Summary
Competencies

• Basics of Client onboarding , KYC, Due • Strong verbal and written • Minimun 3-4 year • MS Office, Outlook,
Diligence, client termination activities. communication skills; experience as a PM Bloomberg
• MS Office, • Email and Telephone who should have
• Good email etiquettes. Etiquettes; performed appraisal
• Metrics reporting, Escalations handling, • Analytical Skills; for the team
• Performance management. • Time Management; • End to end process
• Innovation & Problem knowledge (SME)
solving approach; • Proposing new
• Change management; changes / process
• Interpersonal Skills improvements &
• Leadership skills driving the change
• Planning & Organizing • Work allocation

DLM - Client Onboarding & Processing – Analyst - Grade G (IC track)
Role Summary
units/teams to ensure timely delivery of service, or resolution of issues.
Competencies

• Basics cash and position break recons. Strong verbal and written Good feedback skills. MS Office, Outlook,
• Functional SME. communications. Bloomberg
• MS Office,
• Metrics reporting

QSR – Reconciliation – Intermediate Representative - Grade F (Support track)
Experience 2-3 years of total work experience in a financial domain with experience as a SME
Role Summary
Performs daily reconciliations, deciphering moderately complex exceptions between systems, clients, institutions, etc. for
securities, cash and/or derivatives; processes client accounts.
Competencies

Basics of reconciliations / Break Resolutions Strong verbal and Good feedback MS Office, Outlook, Ensis
Functional SME. written communications. skills.
MS Office,
Metrics reporting.

QSR – Reconciliation – Senior Representative- Grade G (Support track)
Experience
activities as well.
Role Summary
Competencies

Basics of cash and position break Strong verbal and written • Minimun 3-4 year MS Office, Outlook, WRT,
recons. communication skills; experience as a Transtar, IMMS, GSP, Goldtier
Client onboarding , KYC, Due Email and Telephone PM who should
Diligence, client termination activities. Etiquettes; have performed
MS Office, Analytical Skills; appraisal for the
Good email etiquettes. Time Management; team
Metrics reporting, Escalations Innovation & Problem solving • End to end process
handling, approach; knowledge (SME)
Performance management. Change management; • Proposing new
Interpersonal Skills changes / process
Leadership skills improvements &
Planning & Organizing driving the change
• Work allocation

DLM – Reconciliation- Analyst - Grade G (IC track)
Experience 3-4 years of total work experience in a financial domain with experience as a SME
Role Summary
units/teams to ensure timely delivery of service, or resolution of issues
Competencies
Basics cash and position break recons. Strong verbal and Good feedback skills MS Office, Outlook, TLM,
Functional SME. written communications. Bloomberg
MS Office,
Metrics reporting.

DLM –Reconciliation Lead Representative - Grade H (Support track)
Role Summary
Performs in-depth analysis of reconciliations, deciphering highly complex exceptions between systems, clients, institutions,
etc. for securities, cash and/or derivatives; process client accounts. In some areas of the organization, serves as a team
supervisor for the day-to-day operations.
Competencies

• Basics of cash and position break Strong verbal and written 1. Minimum 3-4 year MS Office, Outlook, Bloomberg
recons. communication skills; experience as a PM
• Client onboarding , KYC, Due Email and Telephone who should have
Diligence, client termination Etiquettes; performed appraisal for
activities. Analytical Skills; the team
• Metrics reporting, Escalations Time Management; 2. End to end process
handling, Innovation & Problem knowledge (SME)
• Performance management. solving approach; 3. Proposing new
Change management; changes / process
Interpersonal Skills improvements &
Leadership skills driving the change
Planning & Organizing 4. Work allocation.

DLM – Manager - Grade J (Management track)

Role Summary
Responsible for large strategic projects impacting multiple departments and/or locations. Completes the most complex data
analysis of reconciliations and leads engagements across business areas. Executes on the recommendations of root cause
analysis analyzed by junior staff. Supervises technical testing and the implementation of reconciliation software. May
allocate/coordinate work within a team.
Competencies

• Working Experience of banking • Strong verbal and written • People management skill. - • Proficiency in MS Office
operations is required; Should communication skills Work allocation, Leave (excel in particular)
know KPI,KRI, SLA and audit • Decision Making planning, backup planning, • Proficiency in MS Office
related details • Analysis Skills conflicts management & (excel, PowerPoint, Word,
• Experience in the securities or • Innovation & Problem capacity planning etc. Outlook)
financial services industry a solving • Ensures Accountability - • Exposure to Research
plus. Applicable local/regional • Change management Takes ownership of the Databases (such as
licenses or certifications as • Interpersonal Skills funds Bloomberg and EUCLID)
required by the business • Awareness and • Drives Results • Knowledge of Bloomberg,
understanding about Risk & • Builds Effective Teams Nexen, Euroclear, WSO,
Control • Developing Partnerships GCM
• Experience in managing • Digitial acumen
people managers • Drive Innovation
• Budget planning

Corporate Trust
CFM

CFM – Intermediate Representative - Grade F (Support track) Back to Career Matrix
Qualification Post Graduation or the equivalent combination of education and experience is required.
3-5 years of total work experience preferred. Experience in Capital Markets & Financial products
Experience
knowledge must.
Role Summary
Competencies

• Basic Accounting and Strong product • Strong verbal and • NA • MS Office (excel in
knowledge, Should have good knowledge in written communication particular) is must.
Trade life cycle. Should know KPI,KRI, SLA skills Knowledge of working on
and audit related details. • Email and Telephone Macros,VB & SQL is an
Etiquettes advantage
• Analysis Skills
Management
solving

CFM Operations – Senior Representative - Grade G (Support track) Back to Career Matrix
Role Summary
Competencies

• Experience in Capital Markets & Financial • Strong verbal and • NA • Proficiency in MS Office
products knowledge must written (excel in particular) is
• Experience in payments & Settlements communication skills must. Knowledge of
• Basic Accounting and Strong product • Email and Telephone working on Macros,VB &
knowledge, Should have good knowledge in Etiquettes SQL is an advantage
Trade life cycle. Should know KPI,KRI, SLA • Analysis Skills
and audit related details. • Prioritization – Time
Management
solving

CFM – Lead Representative - Grade H (Support track) Back to Career Matrix
Role Summary
Competencies

• Experience in Capital Markets & • Strong verbal and • People management skill. - • Proficiency in MS Office
Financial products knowledge must written communication Work allocation, Leave (excel in particular) is
• Experience in payments & Settlements skills planning, backup planning, must. Knowledge of
• Strong Accounting and product • Email and Telephone conflicts management & working on Macros,VB &
knowledge, Should have good Etiquettes capacity planning etc. SQL is an advantage
knowledge in Trade life cycle. Should • Analysis Skills • Ensures Accountability -
know KPI,KRI, SLA and audit related • Prioritization – Time Takes ownership of the
details. Management funds
• Innovation & Problem • Drives Results
solving • Builds Effective Teams
• Change management • Developing Partnerships

CFM – Manager - Grade J (Management track) Back to Career Matrix
Post Graduation (preferably commerce ) or the equivalent combination of education and experience is
Qualification
required.
Experience local/regional licenses or certifications as required by the business. Experience in financial
services preferred.
Role Summary
Competencies
• Experience in Capital Markets & • Strong verbal and written • People management • Proficiency in MS Office
Financial products knowledge must communication skills skill. - Work allocation, (excel, PowerPoint, Word,
• Experience in payments & Settlements • Email and Telephone Leave planning, Outlook)
• Working Experience of banking Etiquettes backup planning,
operations is required; Should know • Analysis Skills conflicts management
KPI,KRI, SLA and audit related details • Prioritization – Time & capacity planning
• Experience in the securities or Management etc.
financial services industry a plus. • Innovation & Problem • Ensures Accountability
Applicable local/regional licenses or solving - Takes ownership of
certifications as required by the • Change management the funds
business • Interpersonal Skills • Drives Results
• Timely escalations • Builds Effective Teams
• Developing
Partnerships

Corporate Trust
Analytics

Analytics – Representative - Grade E (Support track)
Qualification Bachelor’s degree (Commerce preferred).Post Graduate in Business is an Advantage.
Experience 2 years of total work experience preferred; experience in finance operations preferred.
Role Summary
Under moderate supervision, helps compile, synthesize and report on the Bank's or market data sources; assists with access,
maintenance and security activities. May manage databases, feeds, etc. of low complexity and assists with data sources.
Conducts preliminary, basic calculations for more senior colleagues and helps develop reports.
Competencies

Basis of Finance with experience on Strong verbal and NA Proficiency in MS Office
Reconciliation written communication (excel in particular) is must.
skills Knowledge of working on
Email and Telephone Macros,VB & SQL is an

Analytics – Intermediate Representative - Grade F (Support track)
Qualification Bachelor’s degree (Commerce preferred).Post Graduate in Business is an Advantage.
Experience 2-3 years of total work experience preferred; experience in finance operations preferred.
Role Summary
Under minimal supervision, compiles, synthesizes and reports on the Bank's or market data sources; provides support with
access, maintenance and security activities. May manage moderately complex databases, feeds, etc. and assists with data
sources. Conducts preliminary, basic calculations for more senior colleagues and helps develop reports.
Competencies

Experience in Structured Finance Strong verbal and NA Proficiency in MS Office
written communication (excel in particular) is must.
skills Knowledge of working on
Email and Telephone Macros,VB & SQL is an
Analysis Skills
Innovation & Problem
solving
Timely escalations

Analytics – Analyst- Grade G (IC track)
Qualification Graduation in any stream (BE/BTech/BCom preferred) + MBA (Finance)/CFA
Experience 0-2 years of relevant experience in Structured Finance domain in an Analytical role
Role Summary
Under direct guidance, works with internal and external datasets and client reference data and provides analysis in the
development of statistical, financial and/or econometric models for analyzing asset performance, securities data, derivative
pricing, risk exposure or other sophisticated concepts. Provides analytical support and prepares drafts of standard and ad hoc
reports for assigned area.
Competencies

• Knowledge of Structured Finance • Strong verbal and written NA • Proficiency in programming
products communication skills language is required to
• Previous modeling experience is • Email and Telephone perform the task efficiently
preferred Etiquettes (Must - Excel, VBA, MS SQL
• Analysis Skills Preferred – MS Access,
• Prioritization – Time ASAP, DART, .Net )
Management
• Innovation & Problem • Sharepoint expertise,
solving Angular JS, Java Scripting,
• Change management R programming and BI
• Interpersonal Skills expertise are added
• Timely escalations advantage

Analytics – Senior Analyst - Grade H (IC track)
Experience 2-4 years of relevant experience in Structured Finance domain in an Analytical role
Role Summary
Competencies

• Knowledge of Structured Finance • Strong verbal and written Responsible for • Proficiency in programming
products communication skills imparting technical language is required to
• Previous structured finance deal • Email and Telephone trainings to new perform the task efficiently
modeling experience is required Etiquettes analyst, ongoing (Must - Excel, VBA, MS SQL
• Analysis Skills guidance and Preferred – MS Access, ASAP,
• Prioritization – Time support to other team DART, .Net )
Management members, act as a
• Innovation & Problem back-up to TLs. • Sharepoint expertise, Angular
solving JS, Java Scripting, R
• Change management programming and BI
• Interpersonal Skills expertise are added
• Timely escalations advantage

Analytics – Senior Analyst , Fund Reporting - Grade H (IC track)
Experience 3-5 years of total work experience ; experience in Accounting/Reporting/Operations.
Role Summary
Competencies

• Good Knowledge of Accounting • Strong verbal and Responsible for • Proficiency in MS Office
• Identification of Complex Break items and written imparting technical (excel in particular) is
Resolution - Root cause communication skills trainings to new analyst, must. Knowledge of
• Knowledge of processing/Reporting in • Email and Telephone ongoing guidance and working on Macros,VB &
accounting platform preferred Etiquettes support to other team SQL is preferred
• Proficient in MS Excel with good • Analysis Skills members, act as a back-
knowledge of Macros • Prioritization – Time up to TLs.
• Good knowledge of Structured Product Management
• Basics of manual interest calculations on • Innovation & Problem
fixed income products solving
• Trouble shooting on issues • Timely escalations

Analytics – Team Lead - Grade I (Support track)
Experience 4-7 years of experience in Structured Finance domain in an Analytical role
Role Summary
Serves as a lead for the day-to-day operations of multiple Data Management and Quantitative Analysis support teams,
providing work direction and technical assistance on the most complex matters that require immediate attention.
Competencies

• Knowledge of Structured Finance products • Strong verbal and • 1-2 years experience • Proficiency in
• Previous structured finance deal modeling written of leading an programming language is
experience is required communication skills analytical team required to perform the
• Email and Telephone task efficiently
Etiquettes • stakeholder (Must - Excel, VBA, MS SQL
• Analysis Skills management, project Preferred – MS Access,
• Prioritization – Time management, fulfill ASAP, DART, .Net )
Management administrative
• Innovation & Problem responsibilities, • Sharepoint expertise,
solving conduct annual Angular JS, Java
• Change management appraisal for direct Scripting, R programming
• Interpersonal Skills reports etc and BI expertise are
• Timely escalations added advantage

Analytics – Lead Analyst- Grade I (IC track)
Role Summary
Under moderate guidance, works with internal and external datasets and client reference data and provides analysis in the
development statistical, financial and/or econometric models for analyzing asset performance, securities data, derivative
Competencies
• Knowledge of Structured • Strong verbal and • Subject matter expert in their • Proficiency in
Finance products written communication area and are responsible for programming language is
• Previous structured finance deal skills designing and imparting required to perform the
modeling experience is required • Email and Telephone technical trainings to new task efficiently
• must have hands-on expertise Etiquettes analyst (Must - Excel, VBA, MS SQL
atleast in 2 asset class in • Analysis Skills • ongoing guidance and Preferred – MS Access,
structured finance • Prioritization – Time support to other team ASAP, DART, .Net )
Management members
• Innovation & Problem • act as a back-up to TLs • Sharepoint expertise,
solving • initiate/lead any new ad-hoc Angular JS, Java
• Change management projects and get involved at Scripting, R programming
• Interpersonal Skills various Analytics group level and BI expertise are
• Timely escalations initiatives added advantage

Analytics – Manager - Grade J (Management track)
Role Summary
Under moderate guidance, works with internal and external datasets and client reference data and provides analysis in the
development statistical, financial and/or econometric models for analyzing asset performance, securities data, derivative
Competencies

• Knowledge of Structured • Strong verbal and written • 4-5 years’ experience of • Proficiency in MS Office
Finance products communication skills leading analytical teams (Excel, PowerPoint, Word,
• Previous structured finance • Decision Making • Stakeholder Outlook)
deal modeling experience is • Analysis Skills management, project • Prior Coding Experience
required • Prioritization – Time management, Career
• Good understanding of Management progression , Risk &
overall finance industry • Innovation & Problem solving control management
• Change management skills , fulfill
• Interpersonal Skills administrative
• Timely escalations responsibilities, conduct
annual appraisal for
direct reports etc

US Fund Accounting and Administration - Structured & Non-Structured

Click here for
Learning Pathway
Fund Accounting - NAV Construction - Business Overview
The net asset value (NAV) core fund accounting team is responsible for calculation of NAV on a daily basis.
Team will validate and review work done by utilities. Ensure accurate books and records for pricing, resolve
any exceptions and validate NAVs based on procedural guidelines. Ensure timely and accurate review of
expenses, accruals and updates in accounting systems. Ensure accurate trust set up, terminations, accurate
rates and cash for the distribution process.
• Morning Check: The daily morning activities includes following tasks- Fund Evaluation check for Cash, Assets & Units
breaks, Daily Distributions and Expense accrual check, Trade Check, Subscription and Redemption, Cash availability/
projection preparation, Sweep Account check, Stale Pricing, Principal & Income adjustments, Global Buys and tickets, etc.
• Afternoon Check: This includes various activities which includes Reconciliation research & resolution, Adhoc adjustments
on accounting and Sponsor terminals. Termination and True ups, Trust setups, Mock Liquidation, Coupon Check, Mid Day
Evaluation check. Derivative reconciliations and Foreign currency check to validate difference between currencies, checking
shares, market value and cost breaks.
• End of the Day: This includes major activities like Price check/update, Market value check, Advisor Recon, Transaction
validation and closing on accounting system, Daily transfer check, Final trade check, Exception Management check, Final
Reporting.

Fund/Client Accounting - Expense Processing and Budgeting - Business Overview
Expense Processing Team is processing on the basis of invoices received from Client which needs for
payments to the vendors. Team also perform Budgeting for Fund launch and Year start to project Expenses
for the year another part is Expense analysis where team analyze accruals in comparison to the budget.
Invoicing: Invoice processing is done as per client instructions received via email or as per contract setup for making periodic
payments
Budgeting: At the time of fund launch SMEs review prospectus to create list of all the expense types. Discuss the allocation of
expenses with Client or CRM. Make adjustments wherever required to finalize the budget for the year.
Expense Analysis and Reporting: Expense Analysis use Budget to determine how much expenses are paid and how much
client is expecting. Regular review help Client to keep a track of payments and correct accruals.

ETF Custody Services - Business Overview
Trade Support:
The primary objective of the ETF - Pending and Fail Trade process is to ensure that all the trades are matched with brokers in
the local markets prior to settlement date to ensure timely settlement.
Break Resolution:
Team identifies and reconciles the breaks, which are then reviewed by the Accounting team and forwarded to the ETF - Break
Resolution team for further research.
Operating Account:
Break Resolution process, on a daily basis, the user receives ETF Control Account Reconciliation spreadsheet with all
discrepancies in the account# 246706 from the Operational Control Account team. User creates trade instructions and then e-
mails and faxes the authorized instructions to the processing team for balance order trades downloaded through DTCC portal.
Collateral Management:
ETF Creation and Redemption process, the Collateral Administrator collects Collateral as cash proceeds in the ETF creation
and redemption orders that are not covered by the NSCC's CNS .
Team is responsible for processing broker swing and counterparty swings received from the client service team through ICO for
Swaps.

Quality Assurance/Testing - Business Overview
Quality Assurance is 'a way of preventing mistakes or defects in manufactured products and avoiding problems when delivering
solutions or services to customers'. ETF testing is responsible for testing applications that are used by BNY Mellon users for
performing different operations on Exchange
Traded funds.
Testing phases: Testing performed by ETF testing is done in 6 different phases:

• Requirement Analysis – In this phase tester reads and understands the requirements provided by the user in BRD/SRS and capture the
queries in Query tracker to send it back to business for clarification.
• Test Planning – Test planning involves preparation of a test plan document which involves objectives, resources, and processes for a
specific test for a software application. The plan typically contains a detailed understanding of the eventual workflow
• Test development – This phase involved analyzing and identification of test scenarios and corresponding test case writing. This may be
One to One or One to many in relation.
• Test environment setup – The environment for testing is setup in this phase, involving URL availability, database connectivity, test data
etc.
• Test Execution – The execution of all the identified test cases is done in this phase and issues identified are logged in defect tracking
tools like JIRA and ALM.
• Test Cycle closure & Reporting – Once all the testing is completed, defects are closed and exit criteria of the Project/PID/Prod fix is met.
A formal sign off is provided by the Project lead to Onshore and business and the required completion reports are sent across.
Types of testing performed: Testing team performs

• System testing – Testing of all the functionalities of primary and major application for ETF operation- EPIC in our Test URL.
• UAT ( User acceptance testing) – This involves testing the flow of data from source system to destination – EPIC, ETF Center, MIDYS,
GSP GTM, DTCC portal etc. in UAT environment.
• Regression testing – Once the sign off is provided for testing completed in UAT URL, it is then merged to regression URL which already
has replica of data from Production. Testing performed in this regression URL which also validates if the issues raised were fixed and
are now working fine.
• Adhoc – Once the tester is done with their testing which is expected as per requirements provided by users in BRD/SRS documents, in
order to provide a better quality of product adhoc testing is done. Adhoc testing covers all kind of random scenarios whichever comes to
tester’s mind simply while navigating through the application.

Fund Accounting - Career Matrix
Lead Manager,
(K-Management)
Manager, Manager,
Manager,
(J-Management)
Lead Analyst, Lead Analyst, Senior Associate, Project Leader Quality,

(I- IC/Support) (I- IC) (I- Support) (I- Management)
Lead Representative, Lead Representative, Lead Representative, Lead Representative,

(H- IC/Support) (H- Support) (H- Support) (H-IC)
Job Complexity
Senior Representative, Senior Representative, Senior Representative,

Senior Representative,
(G-Support) (G-Support) (G-IC)
(G-Support)

Mutual /Structured Fund Expense Processing Custody Services Quality Assurance and
Accounting & Admin and Budgeting Testing*
Legen
d
Process/ Product Complexity Notes: *Separate career path

Navigation
Functional

Cross


Functional Hierarchy: Criticality wise
NAV construction
Expense and
Budgeting
Quality and Testing*
ETF Custody Services
* Excluded from FA due to testing role

Job Code Family

70509 Senior Analyst, Fund/Client Accounting Individual Contributor
70508 Lead Analyst, Fund/Client Accounting Individual Contributor
60039 Quality Assurance/Testing Analyst Individual Contributor
60068 Senior Quality Assurance/Testing Analyst Individual Contributor
70513 Intermediate Representative, Fund/Client Accounting Support
70512 Senior Representative, Fund/Client Accounting Support
70511 Lead Representative, Fund/Client Accounting Support
70508 Lead Analyst, Fund/Client Accounting Support*
60471 Project Leader - Quality Assurance/Testing Analyst Management
70506 Manager, Fund/Client Accounting Management
70505 Lead Manager, Fund/Client Accounting Management
* May have people management responsibilities as required in some teams

Growth Matrix :
Custody Expense
NAV Services- Processing
Construction Senior Fund and
- Senior Rep(G) Budgeting-
Fund Rep (G) Senior Fund
Rep (G)
Expense
Intermediate Processing
Custody
Services-
Fund Rep (F) and
Inter Fund NAV Budgeting-
Inter Fund
Rep (F) Construction Rep (F)

Fund Accounting - Cross Functional Career Matrix
Portfolio Services Treasury Services -Cash Operations IVC, IPG, Settlements

Instructions
Processes under Fund

Accounting
DSD -Custody Processing Financial Reporting
AIS - Fund Accounting Click on each process for

further details
Click on “Fund Accounting” in

Mutual /Structured cross-functional Navigation to
Financial Reporting
Fund Accounting &
Admin
USTA -UAT GIA - Fund / Client Accounting - GIA
& Global
Quality Expense
Assurance & Processing &
DSD – SME
Testing Budgeting HedgeMark -Hedge Fund - Risk
Reporting
AIS - Fund Accounting

Custody Services
Portfolio Services IVC, IPG, Settlements
Treasury Services -Cash Operations DSD -Custody Processing
GFASS & FA TCM – TCM EMEA TA - Client Processing
USTA - Client Processing MOCSD -Trade Processing

Fund/Client Accounting - NAV Construction - Grade F (Support track)
Qualification Bachelor’s degree (Commerce); Post Graduate in Business is preferred.
Experience 0-2 years of total work experience; experience in brokerage/banking operations preferred.
Role Summary
Supports operational fund administration activities for funds, swift response to all mail queries, efficient problem resolution and
risk mitigation. Consults with Supervisor on best practices, solutions and regulatory changes to support client engagement.
Assigned accounts are typically small and non-complex, often a single product. Mastering the basics of the discipline and the
firm's products/services.
Competencies
• Basics of Fund Accounting / Life cycle of • Strong verbal and • Ensures Accountability - • Proficiency in MS
trade written Takes ownership of the Office (excel in
• Reconciliation, research and Validation of communication skills funds particular)
Breaks. Processing of entries in accounting • Client Orientation/ • Drives Results • Exposure to
platform. Focus Accounting
• Basics of manual interest calculations on • Email and Platforms (such as
fixed income/ Equity products Telephone Investone, Geneva,
• Understanding of security setups and Etiquettes Eagle, FACTS)
security specific nuances • Analysis Skills • Exposure to
• Trouble shooting on issues & • Prioritization – Time Reconciliation
understanding of their NAV impacts Management Platforms (such as
• Corporate Action Knowledge • Innovation & TLM)
Problem solving • Exposure to
Research
Databases (such as
Bloomberg or IDC)

Fund/Client Accounting - NAV Construction - Grade G (Support track)
Role Summary
Process more complex operational fund administration activities for funds with intricate portfolio assets including processing
transactions, tracking data, and compliance monitoring, ensuring Client satisfaction, swift response to all mail queries. Assists
in conducting accounting services on behalf of assigned clients and funds including driving Service Improvement plans,
enhancing processes.
Competencies
• Basics of Fund Accounting / Life cycle of trade • Strong verbal and • Ensures • Proficiency in MS
• Reconciliation, research and Validation written communication Accountability - Takes Office (excel in
Including complex breaks. Processing of skills ownership of the particular)
entries in accounting platform. • Client Orientation/ funds • Exposure to
• Basics of manual interest calculations on fixed Focus • Drives Results Accounting
income/ Equity products • Email and Telephone Platforms (such as
• Understanding of security setups and security Etiquettes Investone, Geneva,
specific nuances • Analysis Skills Eagle, FACTS)
• Trouble shooting on issues & understanding of • Prioritization – Time • Exposure to
their NAV impacts Management Accounting
• Corporate Action & Derivative Knowledge • Innovation & Problem Platforms (such as
• Portfolio Valuation & checks solving TLM)
• Performance fees methods • Timely escalations • Exposure to
• Understanding of Trust Setup, termination and • Drives Results Research
True ups. Databases (such as
• Expense accrual and Periodic Distributions. Bloomberg or IDC)

Fund/Client Accounting - NAV Construction - Grade H (Support track)
Role Summary
Serves as a team reviewer for the day-to-day operations for a medium-sized to large team that support staffs and work leads,
which may include one to two products or functions. Review of daily work performed by the processor as well along with self-
assignments. Promptly researching and correcting any variances. Consults with Manager/ Onshore on providing best
solutions and regulatory changes to support client engagement. Providing work direction and technical assistance on
complex matters.
Competencies
• Ensure timely and accurate Net Assets Values, yields, distributions, • Strong verbal and written • Work allocation, • Proficiency in MS Office
and other fund accounting daily requirements along with sound communication skills Leave planning, (excel in particular)
Knowledge in Fund Accounting / Life cycle • Email and Telephone backup planning, • Exposure to Accounting
of trade Etiquettes conflicts Platforms (such as
• Good understanding of manual interest calculations on fixed • Analysis Skills management & Investone, Geneva,
income/ Equity products , understanding of security setups and • Prioritization – Time capacity planning Eagle, FACTS)
security specific nuances Management etc. • Exposure to Accounting
• Trouble shooting on issues & understanding of their NAV impacts. • Innovation & Problem • Ensures Platforms (such as TLM)
• Review of daily work performed by the processor as well along with solving Accountability - • Exposure to Research
self-assignments. Promptly researching and correcting any • Change management Takes ownership of Databases (such as
variances • Interpersonal Skills the funds Bloomberg or IDC)
• Record accurately and in accordance with the Department policies • Timely escalations • Drives Results
and procedures such as daily BAU backups, accounting records , • Developing
Client specific Instructions, CA and/or journal entries, etc. Partnerships
• Identify exceptions and problems affecting accounting records and
prices, communicating same to management, and assisting in their
resolution.
• Institutional processes also include preparing, reconciling and
distributing reports to/from marketing, separate custodians and
investment management. Responsible for ensuring the annual
audit runs smoothly from an FA perspective.

Fund/Client Accounting - NAV Construction - Grade H (IC track)
Role Summary
Conducts accounting services on behalf of assigned clients and provide support in determining net asset values, calculating
fund performance, allocating expenses, distribution of income and preparing reports. Performs a variety of fund administration
activities for funds with more intricate portfolio assets and transactions. Training Specialists for the team. Promptly
researching and correcting any variances. Consults with Manager/ Onshore on providing best solutions and regulatory
changes to support client engagement.
Competencies
• Ensure timely and accurate Net Assets Values, yields, • Strong verbal and • Work allocation, Leave • Proficiency in MS Office
distributions, and other fund accounting daily requirements. written planning, backup planning, (excel in particular)
• Act as core SME/trainer for the team having comprehensive communication conflicts management & • Exposure to Accounting
knowledge of all the tasks and multiple clients. skills capacity planning etc. Platforms (such as
• Training Specialists for the team. • Email and • Ensures Accountability - Investone, Geneva,
• Communication – Onshore\Client\Escalation Telephone Takes ownership of the funds Eagle, FACTS)
• Metric Reporting Etiquettes • Drives Results • Exposure to Accounting
• Would be part of the NAV Validation team in future • Analysis Skills • Developing Partnerships Platforms (such as TLM)
• Good understanding of manual interest calculations on fixed • Prioritization – • Training and development • Exposure to Research
income/ Equity products , understanding of security setups Time Management Databases (such as
and security specific nuances • Innovation & Bloomberg or IDC)
• Trouble shooting on issues & understanding of their NAV Problem solving
impacts • Change
• Identify, Resolve exceptions and problems affecting management
accounting records and prices, communicating same to • Interpersonal Skills
management, and assisting in their resolution. • Timely escalations
• Highlighting overall improvements in the process and thereby
contributing to continuous process improvements.
• Institutional process also include preparing, reconciling and
distributing reports to/from marketing, separate custodians
and investment management.

Fund/Client Accounting - NAV Construction - Grade I (IC track)
Role Summary
Performs a variety of fund administration activities for funds and provides expertise in NAV functions also handles complex
portfolio assets and transactions. Responsibilities include task allocation, Handling critical exceptions, analysis of fund
metrics and compliance. Provide input into methodologies. Conducts accounting services on behalf of assigned clients and
high/complex funds including determining net asset values, calculating fund performance, allocating expenses and preparing
reports.
Competencies
• Ensure that reporting deadlines are met as agreed in the Operating • Strong verbal • Work allocation, • Proficiency in MS Office
Memorandum. and written Leave planning, (excel in particular)
• Ensure timely and accurate Net Assets Values, yields, distributions, and communication backup planning, • Exposure to Accounting
other fund accounting daily requirements. skills conflicts management Platforms (such as
• Review reconciliations on a daily/weekly basis to ensure that the funds • Email and & capacity planning Geneva, Eagle,
are being kept up-to-date. Telephone etc. Investone, FACTS)
• Ensure that fees and expenses are calculated correctly and paid on a Etiquettes • Ensures • Exposure to Accounting
timely basis. • Analysis Skills Accountability - Takes Platforms (such as TLM)
• Ensure that the highest standards of client service are maintained and • Prioritization – ownership of the • Exposure to Research
that any issues or potential problems are highlighted to the AM or Lead Time funds Databases (such as
Manager immediately. Management • Drives Results Bloomberg or IDC)
• Would be responsible for NAV validation and distribution cut off team in • Innovation & • Developing
future. Handing critical Exceptions. Problem solving Partnerships
• Responsible for updating internal MIS/metric reporting as directed by • Change • Training and
the AM/ Lead Manager. management development
• Review control plan results and responsible for the audit trail and • Interpersonal
adapting the control plan to cover every operational risks of the activity Skills
• Assist team members with any issues that arise and will ensure timely • Timely
escalation of issues to the AM & Lead Manager. escalations
• Training Specialists for the team. Work on Process improvements and
generate efficiency
• Communication – Onshore\Client\Escalation

Fund/Client Accounting - NAV Construction - Grade I (Support track*)
Role Summary
Manages a small team of Accountants responsible for conducting accounting services on behalf of assigned clients including
determining net asset values, calculating fund performance, allocating expenses, and preparing reports. Resolves escalated
issues from team members. Manages the performance of assigned staff and sets team priorities.
Competencies
• Manages assigned sponsors /clients and moderately complex funds • Strong verbal and • People management • Proficiency in MS Office
including determining NAV, calculating fund performance, allocating written communication skill. (excel in particular)
expenses and preparing reports. skills • Work allocation, • Exposure to Accounting
• Ensure that reporting deadlines are met as agreed in the Operating • Email and Telephone Leave planning, Platforms (such as
Memorandum. Geneva, Eagle,
Etiquettes backup planning,
• Review reconciliations(exceptions) on a weekly/ Monthly basis to ensure Investone, FACTS)
that the breaks are not aged. • Analysis Skills conflicts
• Prioritization – Time management & • Exposure to Accounting
• Ensure that fees and expenses are calculated correctly and paid on a
timely basis. Management capacity planning Platforms (such as TLM)
• Ensure that team members understand the procedures for completing a • Innovation & Problem etc. • Exposure to Research
NAV and shall ensure that the review is carried out in accordance with the solving • Ensures Databases (such as
procedures. • Change management Accountability - Bloomberg or IDC)
• Responsible for updating internal MIS as directed by the Management. • Interpersonal Skills Takes ownership of
Plan the daily and weekly output of the team. • Timely escalations the funds
• Review control plan results and responsible to ensure the audit trail and
• Drives Results
adapting the control plan to cover every operational risks of the activity
• Responsible for ensuring the annual audit runs smoothly from an FA • Builds Effective
perspective. Teams
• Initiate team meetings and shall participate fully in the planning process. • Developing
Conduct monthly 1 on1 and other staff meetings. Partnerships
• Assist team members with any issues that arise and will ensure timely
escalation of issues to Management.
• Work on Process improvements and generate efficiency. Handling
escalations & Client Calls. Yearly PMP cycle and other process related
MIS docs

Fund/Client Accounting - NAV Construction - Grade J (PM track)
Role Summary
Manages a small team of Accountants responsible for conducting accounting services on behalf of assigned clients including
determining net asset values, calculating fund performance, allocating expenses, and preparing reports. Resolves escalated
issues from team members. Manages the performance of assigned staff and sets team priorities.
Competencies
• Basics of Accounting & Life cycle of trade/ NAV • Strong verbal • People management skill. • Proficiency in MS
• Manages a small team of Accountants responsible for determining net and written • Work allocation, Leave Office (excel in
asset values, calculating fund performance, allocating expenses, and communication planning, backup planning, & particular)
preparing reports. Resolves escalated issues from team members. skills capacity planning etc. • Exposure to
• Ensure that fees and expenses are calculated correctly and paid on a • Email and • Ensures Accountability - Accounting
timely basis. Telephone Takes ownership of the funds Platforms (such as
• Ensure that team members understand the procedures for completing Etiquettes • Drives Results Geneva, Eagle,
a NAV and shall ensure that the review is carried out in accordance • Analysis Skills • Builds Effective Teams Investone, FACTS)
with the procedures. • Prioritization – • Developing Partnerships • Exposure to
• Responsible for updating internal MIS as directed by the Lead Time • Relationship Building & Accounting
manager. Management Collaboration Platforms (such as
• Review control plan results and responsible for guarantying the audit • Innovation & • Change management TLM)
trail and adapting the control plan to cover every operational risks of Problem • Builds Effective Teams- • Exposure to
the activity solving Develops Talent by Research
• Handling escalations & Client Calls. Yearly PMP cycle and other • Change Assessing & Addressing Databases (such
process related MIS docs management training needs for the team. as Bloomberg or
• Initiate team meetings and shall participate fully in the planning • Interpersonal • Build stronger control IDC)
process. Conduct monthly 1 on1 and other staff meetings. Skills environment
• Candidates Hiring. • Timely • Diversity & Inclusion
• KPI, BCP, SLD & Monthly Deck Discussion with Onshore. escalations • Drive Innovation
• Cross Training/ Back-up Plan for the Team. • Expectation
• Capacity Utilization Management

Fund/Client Accounting - NAV Construction - Grade K (PM track)
Role Summary
Provides oversight for multiple small teams or one large team of Accountants responsible for conducting accounting services
on behalf of assigned clients including determining net asset values, calculating fund performance, allocating expenses, and
preparing reports. Manages the performance of teams and sets area priorities.
Competencies
• Provides oversight for multiple small teams or one large team of • Strong verbal and • People management skill. • Proficiency in MS Office
Accountants responsible for conducting accounting services on behalf of written - Work allocation, Leave (excel in particular)
assigned clients including determining net asset values, calculating fund communication skills planning, backup • Exposure to Accounting
performance, allocating expenses, and preparing reports. Manages the • Email and planning, & capacity Platforms (such as
performance of teams and sets area priorities. planning etc. Geneva, Eagle,
Telephone
• Detailed process understanding/Process flow • Ensures Accountability - Investone, FACTS)
• Provides guidance to teams on implementation of new policies to follow Etiquettes Takes ownership of the
• Analysis Skills • Exposure to Accounting
regulations. funds
• Provides guidance to teams managed to ensure that accounting records • Prioritization – Time • Drives Results Platforms (such as TLM)
are maintained in accordance with departmental policies and procedures. Management • Builds Effective Teams • Exposure to Research
Resolves escalated issues from team members. • Innovation & • Developing Partnerships Databases (such as
• Recruits, directs, motivates and develops staff, maximizing their individual Problem solving • Relationship Building & Bloomberg or IDC)
contribution, their professional growth and their ability to function • Change Collaboration
effectively with their colleagues as a team. management • Change management
• Contributes to the achievement of team objectives • Builds Effective Teams-
• Responsible for risk assessment of the process, Quarterly assertion, BCP Develops Talent by
planning and ensuring management of daily BAU. • Timely escalations Assessing & Addressing
• Responsible for promoting process improvement and ensuring efficiency • Expectation training needs for the
targets are achieved. Management team.
• Managing service standards, escalations and risk events/financial loss • Stakeholder • Build stronger control
• Onshore communication & coordination relating to challenges, issues, Management environment
deadlines etc. • Managing Managers
• New migration including client addition - review and sign off of all related • Diversity & Inclusion
documents. Responsible for all annual sign offs ( SLD,SOP's etc.) • Drive Innovation
• Managing Managers

US Fund Accounting and Administration - Structured & Non-Structured
• Non-NAV Construction Team

Fund/Client Accounting-Expense Processing and Budgeting-Grade F (Support track)
Role Summary
The individual is required to perform processing of Invoices as per client instruction. Processing needs to be completed with
utmost accuracy and timeliness following the standard operating procedure. All issues related to missing details or otherwise
to be raised on urgent basis to immediate Supervisor.
Competencies
• Impact & processing of entries in communication skills funds particular)
accounting platform • Email and • Drives Results • Exposure to
• Basics of manual interest calculations on Telephone Accounting
fixed income products Etiquettes Platforms (such as
• Product knowledge of MFs/ETFs, • Analysis Skills Investone, Geneva,
preferably labilities side • Prioritization – Time Eagle, FACTS)
• Understanding of types of expenses and Management • Exposure to
accounting treatment Reconciliation
• Excel knowledge Platforms (such as
• Prepare timely and accurate invoices. TLM)
• Exposure to
Research
Databases (such as
Bloomberg or IDC)

Fund/Client Accounting-Expense Processing and Budgeting-Grade G (Support track)
Role Summary
The individual is required to perform processing of Invoices as per client instruction along with Contractual and trustee fees in
addition he/she is responsible for expense analysis for the same client. Processing needs to be completed with utmost
accuracy and timeliness following the standard operating procedure. All issues related to missing details or otherwise to be
raised on urgent basis to immediate Supervisor.
Competencies
• Prepare timely and accurate invoices, Telephone Accounting
• Expense Analysis Reports and Budgets Etiquettes Platforms (such as
• Basics of manual interest calculations on • Analysis Skills Investone, Geneva,
fixed income products • Prioritization – Time Eagle, FACTS)
• Product knowledge of MFs/ETFs, labilities Management • Exposure to
side • Innovation & Accounting
• Understanding of types of expenses and Problem solving Platforms (such as
accounting treatment • Timely escalations TLM)
• Excel knowledge- advanced functions • Drives Results • Exposure to
• Troubleshooting client/support group Research
inquiries Databases (such as
Bloomberg or IDC)

Fund/Client Accounting-Expense Processing and Budgeting-Grade H (Support track)
Qualification Bachelor’s degree (Commerce), Post Graduate in Business is preferred.
Role Summary
The individual is required to perform review/approve Invoices/expense analysis/budgets once completed by processor and
needs to ensure processing is done in line with client instruction or contract setup. Review needs to be completed with utmost
accuracy and timeliness following the standard operating procedure. All issues related to missing details or otherwise to be
raised on urgent basis to immediate Supervisor.
Competencies
• Prepare timely and accurate invoices, Telephone Accounting
• Expense Analysis Reports and Budgets Etiquettes Platforms (such as
• Basics of manual interest calculations on • Analysis Skills Investone, Geneva,
fixed income products • Prioritization – Time Eagle, FACTS)
• Product knowledge of MFs/ETFs, labilities Management • Exposure to
side • Innovation & Accounting
• Understanding of types of expenses and Problem solving Platforms (such as
accounting treatment • Timely escalations TLM)
• Excel knowledge- advanced functions • Drives Results • Exposure to
• Troubleshooting client/support group Research
inquiries Databases (such
as Bloomberg or
IDC)

Fund/Client Accounting - ETF- Custody Services - Grade F (Support track)
Role Summary
Review and follow-up with brokers with the unmatched and fails trades, for any discrepancy such as: SSI, shares, cash
differences, wrong settlement cycle, wrong location, ISIN. Research cash and assets break in TLM and take appropriate
action to ensure it is resolved within the agreed upon timeline. Request collateral equivalent from AP to release the underlying
securities (or) ETF Shares, return the collateral through wires.
Competencies
• Basics of Fund Accounting/Trade Life • Strong verbal and • Ensures Accountability - • Proficiency in MS
Cycle. written Takes ownership of the Office (excel in
• Processing wires payment to the broker. communication skills funds particular)
• Understanding of Trade Modification & • Email and • Take part in company • Exposure to
Exceptions. Telephone initiatives Accounting
• Conceptual understanding of Buy-in & Sell- Etiquettes Platforms (such as
outs. • Analysis Skills Investone/ Eagle/
• Prioritization – Time Facts, etc)
• Understanding Creation & Redemption
Flow. Management • Exposure to
• Innovation & Research
• Conceptual understanding of Dividend &
Problem solving Databases (such
Corporate Action.
as Bloomberg)
• Change
management • Outlook, Command
• Interpersonal Skills console,
GSP/IMMS,
Workbench, etc

Fund/Client Accounting - ETF- Custody Services - Grade G (Support track)
Role Summary
Ensure all the trades/Breaks are addressed by the admin have the appropriate research comments. Review the trade
modification performed by the admins. Review pending and failed trades via Current Day’s Collateral and Collateral Net
Activity screens on EPIC, a proprietary platform used for ETF basket and in-kind creation/redemption orders. Supports the
achievement of team objectives.
Competencies
• Experience in Fund Accounting/ Trade Life • Strong verbal and • Ensures Accountability - • Proficiency in MS
• Conceptual understanding of Buy-in & Sell- Etiquettes • Developing Partnership. Platforms (such as
outs. • Analysis Skills • SOP Updating. Invest one/ Eagle/
• Prioritization – Time Facts, etc.)
• Understanding Creation & Redemption • Initiate process
Flow. Management improvement ideas. • Exposure to
Corporate Action.
as Bloomberg)
• Review Experience on Cash, Asset & • Change
Trades.
• Trouble shooting on issues..
GSP/IMMS,
Workbench, etc.

Fund/Client Accounting - ETF- Custody Services- Grade H (Support track)
Role Summary
Ensure all the trades/Breaks are addressed by the admin have the appropriate research comments. Review the trade
modification performed by the admins. Review pending and failed trades via Current Day’s Collateral and Collateral Net
Activity screens on EPIC, a proprietary platform used for ETF basket and in-kind creation/redemption orders. Supports the
achievement of team objectives.
Competencies
• Experience in Fund Accounting/ Trade Life • Strong verbal and • Ensures Accountability - • Proficiency in MS
• Conceptual understanding of Buy-in & Sell- Etiquettes • Developing Partnership. Platforms (such as
outs. • Analysis Skills • SOP Updating. Invest one/ Eagle/
• Prioritization – Time Facts, etc.)
• Understanding Creation & Redemption • Initiate process
Flow. Management improvement ideas. • Exposure to
Corporate Action.
as Bloomberg)
• Review Experience on Cash, Asset & • Change
Trades.
• Trouble shooting on issues..
GSP/IMMS,
Workbench, etc.

Quality Assurance/Testing - Business Overview
Qualification Bachelor’s degree (engineering preferred); Post Graduate in Business is preferred.
Experience 2-4 years of total work experience preferred; experience in banking applications testing preferred.
Role Summary
The individual is required to understand the BRD/SRS documents, identify the scenarios against all the user requirements,
write test cases and then execute all the test cases. If any issue is found during execution, individual needs to log the defects
on defect tracking tools like JIRA and ALM. Coordinating with developers and onshore for any issues and timely reporting to
Test lead/ Project leader for every assignment.
Competencies
• Experience in Trade Life Cycle, Funds, • Strong verbal and • Ensures Accountability - • Experience in
Basket operations, report generation. written Takes ownership of the Defect
• Strong with manual testing concepts communication skills funds management tools
• Experience in test scenarios, test case • Email and • Take part in company like JIRA and Test
writing, execution and defect logging. Telephone initiatives management tools
Etiquettes • Initiate process - HP ALM.
• Analysis Skills improvement ideas. • Proficiency in MS
• Prioritization – Time Office (excel in
Management particular)
• Innovation &
Problem solving
• Change
management

Senior Quality Assurance/Testing Analyst - Grade H (IC track)
Role Summary
The individual is required to understand the BRD/SRS documents, identify the scenarios against all the user requirements,
write test cases and then execute all the test cases. If any issue is found during execution, individual needs to log the defects
on defect tracking tools like JIRA and ALM. Coordinating with developers and onshore for any issues and timely reporting to
Test lead/ Project Leader for every assignment. He/She should also be able to review the test cases written by junior testers in
team and provide appropriate review comments. Should be able to maintain the checklist for every PID/Project completion.
Competencies
• Develops complex test cases, scenarios • Strong verbal and • Ensures Accountability - • Experience in
and scripts to ensure applications quality. written Takes ownership of the Defect
• Reviews test scenarios, cases and communication skills funds management tools
evidences and defects logged by the team • Email and • SOP updating like JIRA and Test
members. Telephone • Weekly Call handling with management tools
• Coordination with different stakeholders - Etiquettes other Utilities - HP ALM.
Business, developers, business and • Analysis Skills • Initiate process • Proficiency in MS
different downstream system SPOCs. • Prioritization – Time improvement idea Office (excel in
particular).
Management • Process documentation.
• Innovation &
Problem solving
• Change
management

Project Leader - Quality Assurance/Testing Analyst - Grade I (PM track)
Role Summary
A Project leader should be able to create Test plan for all the PID/Projects/Prod fix received for the testing team. He/She
needs to assign appropriate goals and objectives to his /her team members. Should be able to monitor tasks, review the test
cases, test evidences , defects in tools JIRA,ALM. Coordination between Onshore, Business Analyst, Development team, test
team members and Users. Sending out Daily/weekly and monthly reports/ dashboards. Conduct performance appraisals,
monthly one on one, resolve team issues etc.
Competencies
• Develops testing plan scenarios for • Strong verbal and • People management skill. • Proficiency in MS
moderately complex units, process, written • Builds Effective Teams Office (excel in
function, integration and acceptance communication • Developing Partnerships particular)
testing. skills • Initiate process improvement • Experience in
• Assist in establishing goals for appropriate • Email and idea Defect
testing cycles and defines and manages Telephone management tools
• Performance management
software testing environment. Etiquettes like JIRA and Test
• Weekly Call handling with
• Test standard, and quality assurance tasks. • Analysis Skills management tools
other Utilities
• Manages a small team of developers, • Prioritization – Time - HP ALM.
• Build stronger control
including but not restricted to PMP and Management • Proficiency in MS
environment
compensation related activities. • Innovation & Office (excel in
• Diversity & Inclusion particular)
• Supervises a team by providing instruction Problem solving
making expansions, directing and checking • Change
work for developers. • Work allocation, Daily
management
reporting Leave planning,
• Provides training and technical tools, as • Interpersonal Skills backup planning, conflicts
well as specific applications and focus to • Timely escalations management & capacity
maximize their contributions.
planning etc.

Global Institutional Accounting - GIA

Click here for
Learning Pathway
GIA Business Overview
Global Institutional Accounting, as the name suggest, GIA provides accounting services to institutional clients across EMEA,
US and India. In order to provide the Audited Accounting statements to the end client team performs certain tasks ensuring
accuracy of the reports. GIA provides Monthly accounting services to the client and few intraday accounting services.
GIA mainly comprises of teams 5 different processes like Benefit Disbursement, Data acquisition team (DAG), reconciliation,
accounting and client service. DAG team is responsible to procure monthly third party (IMs) statement from all sources
(websites and emails) and save it in the respective client folders.
Reconciliation team:
Team is responsible to perform internal reconciliation (cash and position) between custody (GSP/IMMS) and accounting platform (IAS,
Invest One) on daily basis and communicate and collaborate with internal BNY teams (Derivatives, Global Income, Corporate Action and
Client service representatives) to resolve the discrepancy between the two systems.
Team is also responsible to reconcile BNYM accounting data with Investment manager data (external reconciliation). Team has to liaise
with internal teams and IM to resolve all discrepancy. Team also performs reconciliation for limited partnership, hedge funds, mutual fund
and commingled funds and value these funds as per IM.
Accounting team:
Post reconciliation team confirms on the completion of the monthly reconciliation, team hands the accounts/ client to accounting team.
Accounting team is responsible and accountable to ensure all postings done on accounting platform are accurate and fall under correct
GL buckets, validate the NAV movement. They are responsible to finalize the audited statement for client as per the pre-requite client
deadline and communicate the same to client and performance team. If team identifies any incorrect entry or huge NAV movement, they
would liaise with Recon team for back up and reasoning for further querying.
Client Service: This team is our client facing team and communicates directly with the end client and ensures all resolves all queries
concerns or general information required by client are communicated by the team post liaising with internal BNY Mellon departments.
Business Technology Liaison: This group supports the GIA teams through various internal developments in terms of UDTs and any
other automations within purview which would help simplify complex manual process into simpler automations.
GIA – Support: This team is responsible for preparing all types of GIA metrics and publish them to senior management.

GIA India - Career Matrix
Legend
Lead Lead Sr.

Lead Manager Lead Manager Manager Manager Specialist
(K - S) (K - PM) K - PM K - PM K - IC
Manager Manager Manager Manager Specialist
(J - PM) (J - IC) (J - PM) J - IC J - IC
Team Lead, Lead Analyst, Team Leader Lead

Recon Recon H - IC Analyst
(I-S) (I- IC) I - IC
Job Complexity
Team Team Lead Rep, Sr. Analyst, Sr. Analyst Sr. Analyst
Leader Leader Recon Recon G-S HH - IC
(H - S) (H - PM) (HH- S) (HH- IC)
Sr. Rep. Sr. Rep. Analyst Sr. Rep.
Team Leader
Recon Recon Recon GG - S
H - IC
(G - S) (GG - S) (GG - IC)
Sr. Analyst Sr. Analyst Sr. Analyst Inter Rep. Inter Rep. Analyst Inter. Rep
(G - S) (G - IC) (G - PM) Recon Recon (F - S) FF - S
Analyst
(F - S) (FF - IC)
Analyst (F - S) Representa
(F – S) Rep. Recon tive
Operations
(EE - S) EE - S
Executive
(E – S) Jr. Rep.
Recon
(DD – S)
GIA - Support GIA – BD (transaction Reconciliation –

processing)
Business Technology
GIA & Global Liaison – GIA & Global

Navigation
Functional

Cross


GIA India - Career Matrix
Legend
Lead Manager Sr. Specialist,

Lead Manager Lead Manager
(K - PM) Client Service
(K - PM) (K - IC)
(K - IC)
Manager, Manager, Specialist, Manager, Manager, Client Specialist,
Accounting Fund/Client A/c Fund/Client A/c Accounting Service Client Service
(J - PM) (J - PM) (J - IC) (J - PM) (J - PM) (J - IC)
Team Lead, Lead Analyst, Team Lead, Lead Analyst,
Accounting Fund/Client A/c Client Service Client Service
(I-IC) (I- IC) (I-S) (I- IC)
Lead Rep,
Job Complexity
Fund/Client A/c
(HH - S) Lead Rep, Client Sr. Analyst, Client
Team Leader
Team Lead Rep, Sr. Analyst, Service Service
Team Leader (H - PM)
Leader Fund/Client A/c Fund/Client A/c (HH- S) (HH- IC)
(H - PM)
(H - IC) (H- PM) (H- IC) Sr. Analyst, Sr. Rep. Client Analyst Client
Sr. Rep. Sr. Rep. Analyst Client Service Service Service
Accounting Fund/Client A/c Fund/Client A/c (G - S) (GG - S) (GG - IC)
(G - S) (GG - S) (GG - IC) Inter Rep. Client
Inter Rep. Inter Rep. Service
Accounting Fund/Client A/c (FF - S)
(F - S) (FF - S) Rep. Client
Rep. Fund/Client
Service.
A/c
(EE - S)
(EE - S)
Sr. Technician,
Client Service
(DD - S)
Fund/Client Accounting – GIA & Global Client Service – GIA and Global

Navigation
Functional

Cross


Growth Matrix :
GIA –
GIA – Accounting GIA–BD
Reconciliation (G - IC) (transaction
processing)
(G - IC)
(G - IC)
GIA – GIA –
GIA - Business
Accounting, Reconciliation Tech Liaison,
(F - IC) (F - IC) (F-Support)

Career Path
Complexity Level 5
Complexity Level 4
Process - Client
facing
Complexity Level 3 Process – Skill sets required
Accounting till H grade
Complexity Level 2 Skill sets required GIA Accounting &
Process - SMART, Client Service
AST and EMEA till H grade
Recon GIA Accounting &
Complexity Level 1 Process - MFCF, Client Service
PB recon, PIAAS, Skill sets required
NIB, CFA - Recon, till H grade
Process - Insurance CIBC, Cash and GIA Recon
accounting, IMR, Control
Notional
Processing, DAG, Skill sets required
TAS and BD till H grade
Skill sets required GIA Recon
till H grade
Client Processing
Skill set requirement for J and K grade, click the link below
J Grade - Manager Role – J, K Grade - Lead Manager Role – K and GIA business technology - GIA Business Technology Liaison

Eligibility criteria and Training requirement
• Employee should have completed 18 months in the process

• Managers to nominate top performers or consistent performers from their team who wants career progression
• The movement can be either lateral or Vertical based on the capability of the employee and requirement
• Nominated employees to go through mandatory Class room training session
• Job shadowing for 3 months (subject to change depending on the process and Grade)
• Assessment with 80% passing minimum
• Interview by hiring manager

GIA Global Job Codes at a glance:
Job Family Job Code Job Title Job Track

Fund/Client Accounting 70510 Analyst, Fund/Client Accounting Individual Contributor
Fund/Client Accounting 70509 Senior Analyst, Fund/Client Accounting Individual Contributor
Fund/Client Accounting 70508 Lead Analyst, Fund/Client Accounting Individual Contributor
Fund/Client Accounting 70507 Specialist, Fund/Client Accounting Individual Contributor
Fund/Client Accounting 70514 Representative, Fund/Client Accounting Support
Fund/Client Accounting 70513 Intermediate Representative, Fund/Client Accounting Support
Fund/Client Accounting 70512 Senior Representative, Fund/Client Accounting Support
Fund/Client Accounting 70710 Lead Representative (Non-Supervisory), Fund/Client Accounting Support
Fund/Client Accounting 70511 Lead Representative (Supervisory), Fund/Client Accounting Support
Fund/Client Accounting 70506 Manager, Fund/Client Accounting Management
Fund/Client Accounting 70505 Lead Manager, Fund/Client Accounting Management
Fund/Client Accounting 70504 Group Manager, Fund/Client Accounting Management
Fund/Client Accounting 70503 Senior Group Manager, Fund/Client Accounting Management
Fund/Client Accounting 70502 Executive Manager, Fund/Client Accounting Management
Reconciliation 70665 Analyst, Reconciliation Individual Contributor
Reconciliation 70666 Senior Analyst, Reconciliation Individual Contributor
Reconciliation 70667 Lead Analyst, Reconciliation Individual Contributor
Reconciliation 70668 Specialist, Reconciliation Individual Contributor
Reconciliation 70664 Jr Representative, Reconciliation Support
Reconciliation 70571 Representative, Reconciliation Support
Reconciliation 70570 Intermediate Representative, Reconciliation Support
Reconciliation 70569 Senior Representative, Reconciliation Support
Reconciliation 70568 Lead Representative, Reconciliation Support
Reconciliation 70567 Team Lead, Reconciliation Support
Reconciliation 70566 Manager, Reconciliation Management
Reconciliation 70565 Lead Manager, Reconciliation Management
Reconciliation 70564 Group Manager, Reconciliation Management
Reconciliation 70563 Senior Group Manager, Reconciliation Management

GIA Global Job Codes at a glance:
Job Family Job Code Job Title Job Track

Client Service 70106 Analyst, Client Service Individual Contributor
Client Service 70105 Senior Analyst, Client Service Individual Contributor
Client Service 70104 Lead Analyst, Client Service Individual Contributor
Client Service 70103 Specialist, Client Service Individual Contributor
Client Service 70102 Senior Specialist, Client Service Individual Contributor
Client Service 70111 Sr Technician, Client Service Support
Client Service 70110 Representative, Client Service Support
Client Service 70109 Intermediate Representative, Client Service Support
Client Service 70108 Senior Representative, Client Service Support
Client Service 70107 Lead Representative, Client Service Support
Client Service 70653 Team Lead, Client Service Support
Client Service 70101 Manager, Client Service Management
Client Service 70100 Lead Manager, Client Service Management
Client Service 70099 Group Manager, Client Service Management
Client Service 70098 Senior Group Manager, Client Service Management
Client Service 70645 Executive Manager, Client Service Management
Business Technology Liaison 70170 Senior Analyst, Business Technology Liaison Individual Contributor
Business Technology Liaison 70169 Lead Analyst, Business Technology Liaison Individual Contributor
Business Technology Liaison 70168 Specialist, Business Technology Liaison Individual Contributor
Business Technology Liaison 70167 Senior Specialist, Business Technology Liaison Individual Contributor
Business Technology Liaison 70166 Principal, Business Technology Liaison Individual Contributor
Business Technology Liaison 70165 Senior Principal, Business Technology Liaison Individual Contributor
Business Technology Liaison 70173 Representative, Business Technology Liaison Support
Business Technology Liaison 70172 Intermediate Representative, Business Technology Liaison Support
Business Technology Liaison 70171 Senior Representative, Business Technology Liaison Support
Business Technology Liaison 70164 Lead Manager, Business Technology Liaison Management
Business Technology Liaison 70163 Group Manager, Business Technology Liaison Management
Business Technology Liaison 70162 Senior Group Manager, Business Technology Liaison Management
Business Technology Liaison 70161 Executive Manager, Business Technology Liaison Management

GIA - Cross Functional Career Matrix (1/2)
Instructions
Processes under GIA

Trade Capture - IVC/IPG USTA - Client Processing Processes across functions
Treasury Services- Lockbox
Management
further details
CT & CT Analytics -Doc Custody
Click on “GIA” in cross-functional

USTA - Reg Ops & OPD Navigation to come back to this
GIA BD page
GIA Support (Transaction
Processing)
Reconciliation - GIA
& Global

AIS - Recon

EMEA TA – Reconciliation MOO - Reconciliation
Reconciliation
Treasury Services - Cash

Portfolio Services IVC, IPC, Settlements
Operations

GIA - Cross Functional Career Matrix (2/2)
Instructions
Processes under GIA

Fund Accounting - Expense
GRS -BPS Team
Processing & Budgeting
HedgeMark -Business Analyst

DSD – SME further details
Business Click on “GIA” in cross-functional

Fund / Client Navigation to come back to this
Technology
Accounting -
Liaison - GIA & page
GIA & Global
Global
Client Service - GIA

& Global
Client Experience -Service

Portfolio Services -Client Service Director Group
Client Experience -Custody Client

USTA - Client Services
Services

GIA
GIA Support and BD

Client Processing - transaction processing- Grade E (Support track) Back to Career Matrix
Qualification Bachelor’s degree in commerce or the equivalent combination of education and experience is required
Experience 0-2 years of total work experience preferred.
Role Summary:
The incumbent is responsible for the processing and support / review of complete, accurate, and timely valuation of financial
statements for large and complex monthly valued clients as well as the resolution of any problems that arise during the
normal valuation processes, and the communication of this information to all interested parties. Should be able to process
transactions received effectively and respond to queries, issues. The incumbent must be flexible to shifts.
Competencies
• Basic knowledge of Accounting • Good verbal and written • NA. • Proficiency in MS Office (excel
and Capital Markets communication skills, in particular)

Client Processing – transaction processing- Grade F (Support track)
Role Summary
statements for large and complex monthly valued clients as well as the resolution of any problems that arise during the normal
valuation processes, and the communication of this information to all interested parties. Should be able to process
transactions received effectively and respond to queries, issues. Should be able to support team in terms of queries and
discrepancies.
Contribution towards continuous process enhancement and improvements in order to reduce manual tasks and/or create
efficiency. The incumbent must be flexible to shifts.
Competencies

• Basics of Accounting and • Strong verbal and written • NA. • Proficiency in MS Office
Capital Markets communication skills, Analytical (excel in particular)
Skills
, contribution towards Process
Improvements

Support - Grade F (Support track)
Qualification Bachelor’s degree is preferred.
Experience 0-1 years of experience preferred
Role Summary:
The incumbent is responsible for generating and reviewing the MIS/metrics for GIA to senior management. Revert back with
possible questions asked on the metrics post liaising with internal GIA departments.
Competencies

• Basic knowledge of accounting. • Strong verbal and written • NA. • NA
• Proficient in MS office (excel especially) communication skills
• Email and Telephone
Etiquettes.

Client Processing – transaction processing- Grade G (IC track)
Role Summary:
discrepancies..
efficiency.
The incumbent must be flexible to shifts.
Competencies
• Basics of Accounting and Capital • Strong verbal and written • NA. • Proficiency in MS Office (excel
Markets communication skills, Analytical in particular)
Skills
• Email and Telephone Etiquettes ,
contribution towards Process
Improvements

Client Processing – transaction processing- Grade G (PM track)
Bachelor’s degree in commerce or the equivalent combination of education and experience is required. MBA in
Qualification
Finance is preferred
Experience 4-5 years of total work experience preferred. Prior experience of handling a team would be an added advantage.
Role Summary
The incumbent is responsible for the oversight of the deliverables. Creating and or assisting in the setup of staff level
development plans and training needs. Manage, promote, educate, and work with the accountant to enhance skill set to
execute process. Assist in training of new Intermediate and Senior Representatives. Huddle boards -Identify and implement
continuous Improvement Ideas - using PE tools to solve Business Problems. Audit Support – With Lead Representative and or
Lead Analyst. Participate and assist in successful migration into future model. He/she should have basis understanding of
accounting and capital market. He/she is responsible for his/her teams’ performance. The incumbent must be flexible to shifts.
Competencies
• Basics of Accounting and • Strong verbal and written • People management skill. - Work • Proficiency in MS Office
Capital Markets communication skills, Analytical skills, allocation, Leave planning, backup (excel in particular)
• Email and Telephone Etiquettes planning, conflicts management. Drives
• Analysis Skills Results
• Prioritization – Time Management, • First line manager for daily and monthly
Contribution towards Process accounting staff
Improvements
• Ensure a holistic and proactive
approach is taken when managing all
aspects of Intuitional service delivery.

Support - Grade G (Support track)
Qualification Bachelor’s degree in commerce or the equivalent combination of education and experience is required.
Experience 1-2 years of experience in MIS reporting, Reconciliation Knowledge.
Role Summary:
discrepancies.
S/he will have general knowledge of securities and trust accounting theories and practices. S/He must be very familiar with
PC applications (e.g. Excel, Word, and Access) as well as on-line systems. S/He should possess strong analytical and
communication skills and be able to work independently. S/He must be able to work under significant pressure while adhering
to constantly changing strict guidelines/deadlines
efficiency .
Competencies
• Advance Excel, • Strong verbal and written • NA. • Proficiency in MS Excel

• Reconciliation experience, communication skills • Exposure to Accounting
• basic knowledge of accounting and • Email and Telephone Platforms (IAS),
capital market Etiquettes • CI tool,
• Knowledge about different financial • Analysis Skills • Workbench,
products/assets (derivatives, bonds, • Prioritization – Time • Nexen,
equity) Management • Bloomberg

Support - Grade H (IC track)
Qualification Bachelor’s degree in accounting or equivalent required.
Experience 2-3 years of work experience in financial institution and MIS Reporting preferred.
Role Summary:
discrepancies.
S/He will have general knowledge of securities and trust accounting theories and practices. S/He must be very familiar with
PC applications (e.g. Excel, Word, and Access) as well as on-line systems. S/He should possess strong analytical and
communication skills and be able to work independently. S/He must be able to work under significant pressure while adhering
to constantly changing strict guidelines/deadlines. Timely publishing of reports in terms of MIS to management teams,
operations etc.
efficiency .
Competencies
• MIS Reporting and • Strong verbal and written communication • No direct reports - • Proficiency in MS Office ,
Dashboard, skills however should be able • Exposure to Accounting
• Basics knowledge of • Email and Telephone Etiquettes to provide oversight and Platforms (IAS),
Accounting , • Analysis Skills able to allocate tasks. • CI tool,
• Basic Product knowledge. • Effective Time Management • Self learning/ driven • Workbench,
• Collaboration • Nexen,
• Stakeholder management • Bloomberg,
• Able to work independently and drive self • Team Handling skills

GIA
GIA Recon

GIA Reconciliation - Grade F (Support track)
Qualification Bachelor’s degree in accounting or the equivalent combination of education and experience is required.
Experience 1 -3 Years of total work experience in Financial services industry required. Reconciliation experience is preferred.
Role Summary:
The incumbent is responsible for daily and monthly reconciliation of Institutional Client’s accounts. They are responsible for the
processing of complete, accurate, and timely valuation of financial statements for large and complex monthly valued clients as well as the
resolution of any problems that arise during the normal valuation processes, and the communication of this information to all interested
parties. Should be able to process transactions received effectively and respond to queries, issues.
S/He will have general knowledge of securities and trust accounting theories and practices. Should have worked on reconciliation
application like TLM.
Contribution towards continuous process enhancement and improvements in order to reduce manual tasks and/or create efficiency. The
incumbent must be flexible for night shifts.
Competencies
• Basic knowledge of Accounting/ capital • Good verbal and • N/A • Proficiency in MS Office (excel in particular)
market written communication • Exposure to Custody and Accounting platform (IMMS, GSP,
• Good knowledge of financial products and skills IAS, InvestOne)
asset types (Derivatives, Bonds, Mutual • Email and Telephone • Exposure to reconciliation Platforms (such as TLM)
Funds, Equities) required. Etiquettes. • Exposure to Research Databases (such as Bloomberg or IDC)
• Life cycle of trade • CI tool
• Basic Knowledge of reconciliation • Workbench
• Understanding of security setups and • Conversion work station
security specific nuances. • QMF (Query management Facility)
• (ICO (Instruction capture online)/Nexen/ treasury edge)
• Embrace
• NetX360
• Webstp2
• Lotus Notes
• Exposure to Research Databases (such as Private I, Burgiss )
• WFC/WFM Knowledge

GIA Reconciliation - Grade G (Support track) Back to Career Matrix
Qualification Bachelor’s degree in commerce/ finance required or the equivalent combination of education is required.
Experience 3-5 Years of total work experience in financial services industry preferred.
Role Summary:
The incumbent is responsible for daily and monthly reconciliation of Institutional Client’s accounts. They are responsible for the processing and support / review of
complete, accurate, and timely valuation of financial statements for large and complex monthly valued clients as well as the resolution of any problems that arise during
the normal valuation processes, and the communication of this information to all interested parties. Should be able to process transactions received effectively and
respond to queries, issues. Should be able to support team in terms of queries and discrepancies. Should be able to troubleshoot and support team with their queries.
S/He should be able to manage team in absence of the Team Leader and provide necessary MIS or reports to the managers.
S/he will have general knowledge of securities and trust accounting theories and practices. Should have worked on reconciliation application like TLM.
Contribution towards continuous process enhancement and improvements in order to reduce manual tasks and/or create efficiency. The incumbent must be flexible for
night shifts.
Competencies
• Good Accounting and Capital Market knowledge • Good verbal and written • N/A • Proficiency in MS Office (excel in
• Good knowledge of financial products and asset types communication skills particular)
(Derivatives, Bonds, Mutual Funds, and Equities) required. • Email and Telephone Etiquettes • Exposure to Custody and Accounting
• Life cycle of trade knowledge • Prioritization – Time Management Platforms
• Knowledge of reconciliation, both internal and external • Innovation & Problem solving (IAS/CMS/GSP/IMMS/C2IMS/InvestOne
(understanding on how to resolve the breaks by working • Timely escalations )
upstream and downstream teams) • Query Resolution. • Workbench
• Good knowledge about Amortization, Master Trust accounts, • Work Allocation. • WFC/WFM Knowledge
Corporate Action events and its impact on Books, • Coordination & Monitoring • (ICO (Instruction capture online)/Nexen/
• Basics of manual interest calculations on fixed income treasury edge)
products. • Fund Website Navigation
• Verification, authorization and settlement of cash, trades and • Exposure to Research Databases (such
monthly distribution. as Private I, Burgiss, Bloomberg, IDC )
• Reconciliation of units and cash suspense accounts. • Embrace
• Research, resolution of sensitive and complex client issues. • NetX360
• Daily & monthly pricing. • Webstp2
• Accounting Fundamentals • Lotus Notes
• Effectively escalate issues to resolve the proofs
• Should be able to train the people on functional side
• Should be able to proactively identify risk related issues and
mitigate them by putting effective controls.
• Understanding of security setups and security specific nuances
• Trouble shooting on issues

GIA Reconciliation - Grade H(IC track) Back to Career Matrix
Qualification Bachelor’s degree required (Commerce preferred)Post Graduate in Business is preferred.
Experience 4-6 Years of total work experience in financial services industry preferred. Experience in reconciliation preferred.
Role Summary:
The incumbent is responsible for daily and monthly reconciliation of Institutional Client’s accounts. They are responsible for the oversight of the daily
proof and monthly reporting of the financial statement. They are the Subject Matter Experts for the reconciliation team and should have good knowledge
about TLM and financial products (Derivatives, Bonds, Equities & Mutual Funds). Should be able to troubleshoot and support team with their queries.
S/He should be able to identify inherent risk and able to mitigate by putting effective controls. S/He is responsible for doing RTC for the risk events,
analyze and conduct trainings (wherever necessary) to mitigate the risk from occurring again or in another team.
Contribution towards continuous process enhancement and improvements in order to reduce manual tasks and/or create efficiency. The incumbent
must be flexible for night shifts.
Competencies
• Basic Accounting and Capital Market knowledge • Strong verbal and written • No Direct Reports • Proficiency in MS Office (excel
• Financial products knowledge (understanding of different types communication skills - however should and PowerPoint in particular)
of breaks while reconciling two books of records on the • Email and Telephone Etiquettes be able to provide • Exposure to Custody and
financial products - Derivatives, Bonds, Equities & Mutual
• Analysis Skills oversight on tasks Accounting Platforms (such as
Funds)
• Knowledge of reconciliation (understanding on how to resolve • Prioritization – Time Management and teams IMMS, GSP, IAS, Investone,
the breaks by working upstream and downstream teams) • Innovation & Problem solving performing the C2IMS)
• Reconciliation of units and cash suspense accounts. • Timely escalations tasks for • Exposure to reconciliation
• Research, resolution of sensitive and complex client issues. • Able to work independently and completion. Platforms (TLM)
• Authorize/Verify high dollar value and high risk market drive self • Exposure to Research
transactions. Databases (such as
• Ensure authenticity and completeness of all cash and Bloomberg or IDC)
securities instructions • Workbench
• Accounting Fundamentals
• (ICO (Instruction capture
• Knowledge to troubleshot issues in the team
• Should be able to train the people on functional side online)/Nexen/ treasury edge)
• Should be able to proactively identify risk related issues and • Embrace
mitigate them by putting effective controls. • NetX360
• Serves as initial escalation in the hierarchy. May assign work to • Webstp2
team and monitor completion and quality. • Lotus Notes
• Act as reviewer and SME

GIA Reconciliation - Grade H(PM track) Back to Career Matrix
Qualification Bachelor’s degree required (Commerce preferred)Post Graduate in Business is preferred.
Experience 4-6 Years of total work experience in financial services industry preferred. Experience in reconciliation preferred.
Role Summary:
The incumbent is responsible for daily and monthly reconciliation of Institutional Client’s accounts. They are responsible for the oversight of the daily
proof and monthly reporting of the financial statement. They are the Subject Matter Experts for the reconciliation team and should have good knowledge
about TLM and financial products (Derivatives, Bonds, Equities & Mutual Funds). Should be able to troubleshoot and support team with their queries.
S/He should be able to identify inherent risk and able to mitigate by putting effective controls. S/He is responsible for doing RTC for the risk events,
analyze and identify training needs (wherever necessary) to mitigate the risk from occurring again or in another team. S/He is responsible for managing
staff, conduct monthly 1:1s, performance review, development planning, succession planning for the staff. The incumbent must be flexible for night
shifts. Contribution towards continuous process enhancement and improvements in order to reduce manual tasks and/or create efficiency.
Competencies
• Basic Accounting and Capital Market knowledge • Strong verbal and written • People management skill - Supervises/manages the • Proficiency in MS Office
• Financial products knowledge (understanding of different communication skills day-to-day operations of a small- to medium-sized (excel and PowerPoint in
types of breaks while reconciling two books of records on • Email and Telephone Etiquettes team. Work allocation, Leave planning, backup particular)
the financial products) • Analysis Skills planning, conflicts management & capacity planning • Exposure to Custody and
• Life cycle of trade • Prioritization – Time Management etc. Sets work priorities and allocates resources Accounting Platforms (such
• Knowledge of reconciliation (understanding on how to • Innovation & Problem solving according to client and fund accounting functional as IMMS, GSP, IAS,
resolve the breaks by working upstream and downstream • Timely escalations needs. Investone, C2IMS)
teams) • Track productivity of team • First line manager for daily and monthly • Exposure to reconciliation
• Good knowledge about Amortization, Master Trust • Manage, promote, and educate Reconciliation staff Platforms (TLM)
accounts, Corporate Action events and its impact on Risk culture and transparency - • Excellent people management skills. Effective team • Exposure to Research
Books, Timely escalation and reporting of building. Databases (such as
• Basics of manual interest calculations on fixed income client impacts - NAV errors, • Decision Making Bloomberg or IDC)
products. Events, missed deliverables and • Proactive work approach. • Workbench
• Review & update of monthly accounting statements. revisions • Leading from the front. Driving the team for results. • (ICO (Instruction capture
• Knowledge to troubleshot issues in the team • Eye for details & good task master. online)/Nexen/ treasury
• Effectively escalate issues to resolve the proofs • Flexible and adaptable to business requirements. edge)
• Knowledge to maintain metrics to track the • Ensures Accountability - Takes ownership of the • Embrace
exceptions/Differences funds • NetX360
• Should be able to train the people on functional side • Managing and or assisting in the management of • Webstp2
• Should be able to proactively identify risk related issues monthly and daily accounting staff • Lotus Notes
and mitigate them by putting effective controls. • Huddle boards -Identify and implement continuous
• Serves as initial escalation in the hierarchy. May assign Improvement Ideas - using PE tools to solve Business
work to team and monitor completion and quality. Problems. Huddle board roaming (go to other huddle
• Understand controls utilized to ensure Accurate and Timely board to share idea and learn how other teams are
delivery of Accounting and or Client Reporting managing PE huddles)
• Audit Support – With Lead Representative and or
Lead Analyst.

GIA
GIA Business Technology Liaison

Support - Grade F (Support track)
Qualification Bachelor’s degree in Engineering / Graduate in Computer Applications is required.
Experience 1-3 years of total work experience preferred; At least 1 year of hands on experience in programming is required.
Role Summary:
The incumbent is responsible for the processing and support / review of complete, accurate, and timely valuation of financial statements
for large and complex monthly valued clients as well as the resolution of any problems that arise during the normal valuation processes,
and the communication of this information to all interested parties. Should be able to process transactions received effectively and
respond to queries, issues.
Technical proficiency in terms of requirement for projects, enhancements building etc. is a must for this role. S/He will have a very good
knowledge of securities/trust accounting theories/practices and be very familiar with PC applications and core on-line systems. S/He
should possess strong analytical, communication, and client servicing skills and be able to work independently. S/He must also be able to
work under significant pressure while adhering to constantly changing strict deadlines. The incumbent must be flexible for night shifts.
Competencies
• Understand the business requirement • Good verbal and written • No direct reports, • Profiency in Coding ,Testing and
and program the Macros/ Applications communication skills provides guidance to deployment using VBA, VB.NET
based on the specified technology and • Email and Telephone less experienced or C#, Ability to write stored
tools and deliver the desired output Etiquettes colleagues. Leads procedures and related
required by the business teams. • Analysis Skills projects and allocates functions to retrieve and
Proficiency with at least one web • Innovation & Problem solving work accordingly. manage data.
development language. • Interpersonal Skills
• Collect requirements and complete • Timely escalations.
BRDs and testing.

GIA Business Technology Liaison - Grade G (Support track) Back to Career Matrix
Qualification Bachelor’s degree in Engineering / Graduate in Computer Applications is required.
Experience 2-5 years of total work experience preferred; atleast 1 year of hands on programming required.
Role Summary:
The incumbent is responsible for the processing and support / review of complete, accurate, and timely valuation of financial statements
for large and complex monthly valued clients as well as the resolution of any problems that arise during the normal valuation processes,
and the communication of this information to all interested parties. Should be able to process transactions received effectively and
respond to queries, issues.
Technical proficiency in terms of requirement for projects, enhancements building etc. is a must for this role. S/He will have a very good
knowledge of securities/trust accounting theories/practices and be very familiar with PC applications and core on-line systems. S/He
should possess strong analytical, communication, and client servicing skills and be able to work independently. S/He must also be able to
work under significant pressure while adhering to constantly changing strict deadlines.
S/he must understand all standard client accounting /reporting requirements and be able to leverage his/her knowledge of our system and
services to provide solutions to client requirements. The incumbent must be flexible for night shifts.
Competencies
• Understand the business requirement and • Good verbal and written • No direct reports, • Profiency in Coding ,Testing and
program the Macros/ Applications based communication skills provides guidance to deployment using VBA, Java or
on the specified technology and tools and • Email and Telephone less experienced C+, Ability to write stored
deliver the desired output required by the Etiquettes colleagues. Leads procedures and related functions
business teams. Proficiency with at least • Analysis Skills projects and allocates to retrieve and manage data.
one web development language • Innovation & Problem work accordingly.
solving

GIA Business Technology Liaison - Grade H (IC track) Back to Career Matrix
Qualification Bachelor’s degree in Engineering / Post Graduate in Computer Applications is required.
Experience 3-5 years of total work experience preferred. Knowledge of Project Management methodologies and tools.
Role Summary:
The incumbent is responsible for the processing and support / review of complete, accurate, and timely valuation of financial statements for
large and complex monthly valued clients as well as the resolution of any problems that arise during the normal valuation processes, and the
communication of this information to all interested parties. Should be able to process transactions received effectively and respond to queries,
issues.
Technical proficiency in terms of requirement for projects, enhancements building etc. is a must for this role. S/he will have a very good
knowledge of securities/trust accounting theories/practices and be very familiar with PC applications and core on-line systems. S/he should
possess strong analytical, communication, and client servicing skills and be able to work independently. S/He must also be able to work under
significant pressure while adhering to constantly changing strict deadlines.
S/He must understand all standard client accounting /reporting requirements and be able to leverage his/her knowledge of our system and
services to provide solutions to client requirements. S/He must have a good understanding of all groups that support IAS. S/he must use her/his
understanding of our business in order to appropriately manage the risk inherent in our overall business. The incumbent must be flexible for
night shifts.
Competencies
• Participates in the development of • Strong verbal and written • No direct reports, • Knowledge of business structure,
functional or operational requirements; communication skills provides Requirements engineering,
tests and trains users on applications with • Email and Telephone Etiquettes guidance to less Organizational skills, Costs benefit
guidance from more experienced • Analytical thinking and problem experienced analysis, Processes modeling,
colleagues. Interfaces with all areas of IT solving colleagues. Stakeholder analysis, Testing and
on behalf of the business to resolve IT • Prioritization – Time Leads projects Documentation. Understanding of
matters and improve business processes. Management and allocates networks, databases and other
• Collect requirements, complete BDRs • Innovation & Problem solving work accordingly. technologies.
and testings. • Change management • Profiency in programming using
• Basics knowledge of Accounting , • Interpersonal Skills VBA, VB.NET,C#,SQL,
• Basic Product knowledge, • Timely escalations • Good product knowledge
• Programming knowledge • Able to work independently and (SharePoint, Mainframe etc.)
drive self

GIA
GIA Accounting & Client Service

GIA Accounting - Grade F (Support track)
1 - 2 years of experience in financial service industry is required. Fund account/Hedge Fund accounting
Experience
experience preferred.
Role Summary:
The incumbent is responsible for monthly accounting of Institutional Client’s accounts. They are responsible for the processing of complete, accurate,
and timely valuation of financial statements for large and complex monthly valued clients as well as the resolution of any problems that arise during the
normal valuation processes, and the communication of this information to all interested parties. Should be able to process transactions received
effectively and respond to queries, issues.
S/He will have general knowledge of securities and trust accounting theories and practices.
Competencies
• Basics knowledge of Accounting & Capital market • Strong verbal and written • N/A • Proficiency in MS Office (excel in
• Monitor exceptions and variance on accounting report communication skills particular)
and get these resolved. • Email and Telephone • Exposure to Accounting
• Product knowledge (Alternate Funds - Hedge Fund, Etiquettes Platforms (IAS/CMS/GSP/IMMS)
Limited Partnership Accounting knowledge) and basics • Timely escalations. • CI tool
of Bonds, equity and derivatives. • Workbench
• Record client specific activity on SharePoint/Client Bios • Nexen
• Value Funds as per the Investment Manager and • NetX360
provide sign off of the account • My GTM
• Trouble shooting on issues & understanding of their • Webstp
NAV impacts
• Review NAV for tolerance exceptions
• Provide Regulatory Reporting (SORP/ONS/ERISA
reporting)

GIA Accounting - Grade G (Support track) Back to Career Matrix
Experience 2-3 years of total work experience preferred; experience in accounting (fund/institutional) preferred.
Role Summary:
The incumbent is responsible for monthly accounting of Institutional Client’s accounts. They are responsible for the processing of complete, accurate,
and timely valuation of financial statements for large and complex monthly valued clients as well as the resolution of any problems that arise during the
normal valuation processes, and the communication of this information to all interested parties. S/He will have general knowledge of securities and trust
accounting theories and practices.
Identification of Complex Break items and Resolution - Root cause & NAV Impact, should be able to troubleshoot and support team with their queries.
S/He should be able to identify inherent risk and able to mitigate by putting effective controls.
Competencies
• Basic knowledge of Accounting • Strong verbal and written • N/A • Proficiency in MS Office (excel
• Monitor exceptions and variance on accounting report and get these resolved. communication skills in particular)
• Product knowledge - basics of Bonds, equity and derivatives. • Email and Telephone • Exposure to Custody and
• Record client specific activity in SharePoint/ Client Bio. Etiquettes Accounting Platforms
• Trouble shooting on issues & understanding of their NAV impacts • Prioritization – Time (IAS/CMS/GSP/IMMS/InvestO
• Review NAV for tolerance exceptions Management ne)
• Provide Regulatory Reporting (SORP/ONS/ERISA reporting) • Innovation & Problem • CI tool
• Accountant within Global Institutional Accounting is the primary point of contact solving • Workbench
for the client as it relates to GIA • Timely escalations • Mobius
• Help to ensure a holistic and proactive approach is taken when managing all • Nexen
aspects of Intuitional service delivery • NetX360
• Monitoring quality and performance levels, for touchpoint into the clients • My GTM
• Central Point of escalation for GIA related items • Webstp
• Liaison with Front Office for all Accounting discussions
• Ownership of Client SLA’s (including client reporting)
• Oversee Day to Day and Monthly delivery
• Internal and external escalation of any issues
• Continuous Improvement – NAV Production and Client – Reporting
• Ad Hoc reporting generation
• Ensure Closed accounts are closed completely on Accounting
• Quarterly and Annual Client Reporting

GIA Accounting - Grade H(IC) Back to Career Matrix
Experience 3-5 years of total work experience preferred; Big 4 accounting firm experience preferred.
Role Summary :
The incumbent is responsible for daily and monthly reconciliation of Institutional Client’s accounts. They are responsible for the processing of complete, accurate, and
timely valuation of financial statements for large and complex monthly valued clients as well as the resolution of any problems that arise during the normal valuation
processes, and the communication of this information to all interested parties. S/He will have general knowledge of securities and trust accounting theories and
practices. They are the Subject Matter Experts for the accounting team and should have good knowledge about principle and practices of accounting standards and
financial products (Derivatives, Bonds, and Equities & Mutual Funds). Should be able to troubleshoot and support team with their queries. S/He should be able to
identify inherent risk and able to mitigate by putting effective controls. S/He is responsible for doing RTC for the risk events, analyze and conduct trainings (wherever
necessary) to mitigate the risk from occurring again or in another team. The incumbent must be flexible for night shifts.
Contribution towards continuous process enhancement and improvements in order to reduce manual tasks and/or create efficiency.
Competencies
• Monitor exceptions and variance on accounting report and get these • Strong verbal and written • No direct • Proficiency in MS
resolved. communication skills reports but Office (excel in
• Product knowledge - basics of Bonds, equity and derivatives. • Email and Telephone may provide particular)
• Record client specific activity in SharePoint/ Client Bio. Etiquettes guidance to • Exposure to
• Trouble shooting on issues & understanding of their NAV impacts • Effective time management less Accounting Platforms
• Provide Regulatory Reporting (SORP/ONS/ERISA reporting) . experienced (IAS/CMS/GSP/IMMS/
• Identification of Complex Break items and Resolution - Root cause & NAV • Timely escalation team InvestOne)
Impact • Act as an SME members. • CI tool
• Help to ensure a holistic and proactive approach is taken when managing all • ability to conduct training • Workbench
aspects of Intuitional service delivery sessions for less • Mobius
• Monitoring quality and performance levels, for touchpoint into the clients experienced team members • Nexen
• Central Point of escalation for GIA related items • Able to work independently • NetX360
• Liaison with Front Office for all Accounting discussions and drive self • My GTM
• Ownership of Client SLA’s (including client reporting) • Webstp
• Oversee Day to Day and Monthly delivery • Exposure to Research
• Internal and external escalation of any issues Databases (such as
• Provide detailed SME knowledge to the Accounting Utility team and Clients Bloomberg)
• Ensure Closed accounts are closed completely on Accounting

GIA Accounting – Grade H (PM track) Back to Career Matrix
4-6 years of experience in financial service industry is preferred. Experience in Fund. Hedge fund accounting
Experience
preferred.
Role Summary:
The incumbent is responsible for daily and monthly reconciliation of Institutional Client’s accounts. They are responsible for the processing of complete, accurate, and
timely valuation of financial statements for large and complex monthly valued clients as well as the resolution of any problems that arise during the normal valuation
processes, and the communication of this information to all interested parties. S/He will have general knowledge of securities and trust accounting theories and
practices. They are the Subject Matter Experts for the accounting team and should have good knowledge about principle and practices of accounting standards and
financial products (Derivatives, Bonds, and Equities & Mutual Funds). Should be able to troubleshoot and support team with their queries. S/He should be able to
identify inherent risk and able to mitigate by putting effective controls. S/He is responsible for doing RTC for the risk events, analyze and conduct trainings (wherever
necessary) to mitigate the risk from occurring again or in another team. S/He is responsible for managing staff, conduct monthly 1:1s, performance review, development
planning, and succession planning for the staff. Contribution towards continuous process enhancement and improvements in order to reduce manual tasks and/or
create efficiency. The incumbent must be flexible for night shifts.
Competencies
• Manages team in determining the net asset value • Strong verbal and written • Supervises/manages the day-to-day • Proficiency in MS
(NAV) for assigned funds for each measurement communication skills operations of a small- to medium-sized fund Office (excel in
cycle. • Email and Telephone accounting support team. Sets work particular)
• • Manages relationships with assigned clients and Etiquettes priorities and allocates resources according • Exposure to
ensures all questions are answered and issues with • Analysis Skills to client and fund accounting functional Custody and
fund calculations and accounting are resolved. • Prioritization – Time needs. Accounting
• • Manages processes and provides oversight of team Management • First line manager for daily and monthly Platforms
to ensure that accounting records are maintained in • Innovation & Problem solving accounting staff (IAS/CMS/GSP/IMM
accordance with departmental policies and • Change management • Recruits, directs, motivates and develops S)
procedures. • Interpersonal Skills staff, maximizing their individual contribution, • CI tool
• • Manages the drafting of financial reports for clients • Timely escalations their professional growth and their ability to • Workbench
to review fund performance. Communicates reports • Manage, promote, and function effectively with their colleagues as a • Mobius
and accounting intricacies to clients. educate Risk culture and team. • Nexen
• Ensure a holistic and proactive approach is taken transparency - Timely • Huddle boards -Identify and implement • NetX360
when managing all aspects of Intuitional service escalation and reporting of continuous Improvement Ideas - using PE • My GTM
delivery client impacts - NAV errors, tools to solve Business Problems. Huddle • Webstp
• Understand controls utilized to ensure Accurate and Events, missed deliverables board roaming (go to other huddle board to
Timely delivery of Accounting and or Client and revisions share idea and learn how other teams are
Reporting. • Participate and assist in managing PE huddles)
• Ensure Closed accounts are closed completely on successful migration into • Audit Support – With Lead Representative
Accounting future model and or Lead Analyst

GIA Accounting – Grade I (IC track) Back to Career Matrix
Qualification Bachelor’s degree (Commerce preferred) and experience in business management or related field is required.
4-6 years of experience in financial service industry is preferred. Experience in Fund; Hedge fund accounting
Experience
preferred.
Role Summary:
The incumbent is responsible for daily and monthly reconciliation of Institutional Client’s accounts. They are responsible for the processing of complete,
accurate, and timely valuation of financial statements for large and complex monthly valued clients as well as the resolution of any problems that arise
during the normal valuation processes, and the communication of this information to all interested parties. S/He will have general knowledge of
securities and trust accounting theories and practices. They are the Subject Matter Experts for the accounting team and should have good knowledge
about principle and practices of accounting standards and financial products (Derivatives, Bonds, and Equities & Mutual Funds and Alternative Funds).
Should be able to troubleshoot and support team with their queries. S/He should be able to identify inherent risk and able to mitigate by putting effective
controls. S/He is responsible for doing RTC for the risk events, analyze and conduct trainings (wherever necessary) to mitigate the risk from occurring
again or in another team. The incumbent must be flexible for night shifts.
Contribution towards continuous process enhancement and improvements in order to reduce manual tasks and/or create efficiency.
Competencies
• Basics knowledge of Accounting • Strong analytical and • No direct reports - • Must be highly proficient
• Knowledge about derivative products and communication skills however needs to with PC applications and
ability to work on complex funds. • Effective supervision for collaborate with team on core on-line systems and
• Knowledge of securities and Fund adhering to strict and constantly work deliverables and information delivery tools
accounting theories and practices. changing deadlines. manage new staff for • Exposure to Accounting
• Trouble shooting on issues & • Innovation & Problem solving their training needs. Platforms (such as
understanding of their NAV impacts. • Guiding less experienced team InvestOne)
• Act as an SME for business/process members to resolve issues • Exposure to Research
related to their funds Databases (such as
• Ability to conduct training Bloomberg )
sessions for less experienced
team members
• Able to work independently and
drive self

GIA Accounting with Client Service - Grade G (Support track) Back to Career Matrix
2-3 years of toal experience in financial service industry required. Experience in Hedge Fund/ Alternate Fund accounting is
Experience
preferred. Experience in client facing/interaction is preferred.
Role Summary:
The incumbent is responsible for monthly accounting of Institutional Client’s accounts. They are responsible for the processing of complete, accurate, and timely
valuation of financial statements for large and complex monthly valued clients as well as the resolution of any problems that arise during the normal valuation processes.
S/he is responsible for direct contact with the end client, take accountability and ownership of getting client’s queries/ concerns addressed on priority.
S/he will have general knowledge of securities and trust accounting theories and practices. Identification of Complex Break items and Resolution - Root cause & NAV
Impact, should be able to troubleshoot and support team with their queries. S/He should be able to effective communicate between client’s expectation and internal
BNYM teams requirements for smooth, accurate and timely reports.
Contribution towards continuous process enhancement and improvements in order to reduce manual tasks and/or create efficiency. The incumbent must be flexible for
night shifts. The incumbent must be flexible for night shifts.
Competencies
• Basic knowledge of Accounting • Strong verbal and written • N/A • Proficiency in MS Office
• Monitor exceptions and variance on accounting report and get these resolved. communication skills (excel in particular)
• Record client specific activity in SharePoint/ Client Bio. • Email and Telephone • Exposure to Accounting
• Trouble shooting on issues & understanding of their NAV impacts Etiquettes Platforms (IAS/InvestOne)
• Review NAV for tolerance exceptions • Prioritization – Time • CI tool
• Provide Regulatory Reporting (SORP/ONS/ERISA reporting) Management • Workbench
• Help to ensure a holistic and proactive approach is taken when managing all • Innovation & Problem solving • Mobius
aspects of Intuitional service delivery • Timely escalations • Nexen
• Monitoring quality and performance levels, for touchpoint into the clients • Able to drive self in completing • NetX360
• Central Point of escalation for GIA related items tasks and self learning. • My GTM
• Liaison with Front Office for all Accounting discussions • Webstp
• Ownership of Client SLA’s (including client reporting)
• Oversee Day to Day and Monthly delivery
• Accounting related - Client change management
• Audit Support
• Day to Day point of contact for the client
• Ensure execution of controls for Accurate and Timely delivery of Accounting and or
Client Reporting
• Assist where required in processing all client specific cash transactions related to
Client internal control accounts

GIA Accounting with Client Service - Grade H (PM track) Back to Career Matrix
4-6 years of total work experience preferred; Big 4 accounting firm experience preferred. Experience in Hedge Fund/
Experience
Alternate Fund accounting is preferred. Experience in client facing/interaction is preferred.
Role Summary:
The incumbent is responsible for monthly accounting of Institutional Client’s accounts. They are responsible for the processing of complete, accurate, and timely
valuation of financial statements for large and complex monthly valued clients as well as the resolution of any problems that arise during the normal valuation processes.
S/He is responsible for direct contact with the end client, take accountability and ownership of getting client’s queries/ concerns addressed on priority.
S/He will have general knowledge of securities and trust accounting theories and practices. Identification of Complex Break items and Resolution - Root cause & NAV
Impact, should be able to troubleshoot and support team with their queries. S/He should be able to effective communicate between client’s expectation and internal
BNYM teams requirements for smooth, accurate and timely reports. S/He is responsible for managing staff, conduct monthly 1:1s, performance review, development
planning, and succession planning for the staff. Contribution towards continuous process enhancement and improvements in order to reduce manual tasks and/or create
efficiency. The incumbent must be flexible for night shifts.
Competencies
• Basic knowledge of Accounting • Strong verbal and written • Supervises/manages the day-to-day operations of a • Proficiency in MS
• Monitor exceptions and variance on accounting report and get these communication skills small- to medium-sized fund accounting support Office (excel in
resolved. • Email and Telephone team. Sets work priorities and allocates resources particular)
• Record client specific activity in SharePoint/ Client Bio. Etiquettes according to client and fund accounting functional • Exposure to
• Trouble shooting on issues & understanding of their NAV impacts • Analysis Skills needs. Custody and
• Review NAV for tolerance exceptions • Prioritization – Time • First line manager for daily and monthly accounting Accounting
• Provide Regulatory Reporting (SORP/ONS/ERISA reporting) Management staff Platforms
• Help to ensure a holistic and proactive approach is taken when managing • Innovation & Problem • Recruits, directs, motivates and develops staff, (IAS/CMS/GSP/IMM
all aspects of Intuitional service delivery solving maximizing their individual contribution, their S)
• Monitoring quality and performance levels, for touchpoint into the clients • Change management professional growth and their ability to function • CI tool
• Central Point of escalation for GIA related items • Interpersonal Skills effectively with their colleagues as a team. • Workbench
• Liaison with Front Office for all Accounting discussions • Timely escalations • Creating and or assisting in the creation of staff • Mobius
• Ownership of Client SLA’s (including client reporting) level objectives • Nexen
• Oversee Day to Day and Monthly delivery • Managing and or assisting in the management of • NetX360
• Accounting related - Client change management monthly and daily accounting staff • My GTM
• Continuous Improvement – NAV Production and Client – Reporting • Huddle boards -Identify and implement continuous • Webstp
• Ad Hoc reporting generation Improvement Ideas - using PE tools to solve
• Audit Support Business Problems. Huddle board roaming (go to
• Day to Day point of contact for the client other huddle board to share idea and learn how
• Ensure execution of controls for Accurate and Timely delivery of other teams are managing PE huddles)
Accounting and or Client Reporting • Audit Support – With Lead Representative and or
• Assist where required in processing all client specific cash transactions Lead Analyst
related to Client internal control accounts

GIA
Manager Role - J
Support Group
IC manager
PM role

Support/ Business Tech Liaison- Grade J (IC track) Back to Career Matrix
Qualification Bachelor’s degree in Engineering / Post Graduate in Computer Applications is required
Experience 5-7 years of total work experience preferred. Programming experience is mandatory.
Role Summary:
The incumbent is responsible to analyze, define and prioritize business requirements and functional specifications for moderate to large
projects. Able to work with business to identify areas of improvement and support in initiating, development and implementation of the tool
or improvement identified.
S/He should have good communication skills and will be required to collaborate with internal stakeholders on different projects. S/he
should have the basic understanding of capital market and accounting and good knowledge of the applications used with business. S/he
is responsible to lead projects and allocate work/projects within the team as per the skill set. The incumbent must be flexible for night
shifts.
Competencies
• Analyzes, defines and prioritizes • Strong verbal and written • No direct reports, • Profiency in programming using
business requirements and functional or communication skills provides guidance to VBA, VB.NET or C#, Ability to
operational specifications for moderate • Email and Telephone less experienced write stored procedures and
to large projects of increasing Etiquettes colleagues. Leads related functions to retrieve and
complexity. • Analysis Skills projects and allocates manage data.
• Provides consultation to all areas of IT • Prioritization – Time work accordingly. • Provide technical solutions for
and business management for the Management • Collaboration and the business requirements.
application of technology to support • Innovation & Problem solving stakeholder • Knowledge of business
business opportunities and planning, • Change management management is required. structure, Requirements
implementation of cross-functional • Interpersonal Skills engineering, Organizational
applications or systems. • Timely escalations skills, Costs benefit analysis,
• May allocate/coordinate work within a • Able to work independently Processes modeling,
team/project. and drive self. Stakeholder analysis, Testing
• Proficiency with at least one web and Documentation.
development language • Understanding of networks,
databases and other technology

Reconciliation - Grade J (IC track) Back to Career Matrix
5-7 years of total work experience of domain experience required. Product knowledge required. Project management
Experience
Role Summary :
The incumbent is responsible to analyze, define and prioritize business requirements and functional specifications for moderate to large projects. Is
responsible to have good product and project knowledge and experience. S/He is responsible to have good knowledge about applications used within
GIA domain and able to identify areas for improvement via STP rate, trainings (to mitigate risk and repeated error or issues).
S/he should have good analytical skills to able to review and analyze error logs, volumes, etc and provide possible solution to reduce the risk and
productivity across teams. S/He is responsible to troubleshoot and provide solution and training (if required) on application or product. S/He should be
able to identify any new/different process and write procedures, reviewed, circulated and provide training to the relevant teams
S/He should have good communication skills and will be required to collaborate with internal stakeholders on different projects. S/he should have the
basic understanding of capital market and accounting and good knowledge of the applications used with business. S/he is responsible to lead projects
and allocate work/projects within the team as per the skill set. Able to identify gaps in knowledge, process, procedures and able to bridge the gaps via
trainings, technology enhancement or change control process.
Tests new technology solutions or improvements for new and existing business needs and acts as a subject matter expert.
Competencies
• Good knowledge of Accounting & financial products is • Strong verbal and written • No direct reports, • Proficiency in MS Office (excel and power point
required (understanding of different types of breaks communication skills provides guidance to in particular)
while reconciling two books of records on the financial • Email and Telephone less experienced • Exposure to Accounting Platforms
products) Etiquettes colleagues. Leads (IAS/CMS/GSP/IMMS/C2IMS/InvestOne/Eagle)
• Good knowledge of cash/ accounting processing. • Analysis Skills projects and allocates • Workbench
• Good knowledge about applications used within • Prioritization – Time work accordingly. • (ICO (Instruction capture online)/Nexen/ treasury
Accounting domain and able to identify areas of Management edge)
improvement (STP rates). • Innovation & Problem • Exposure to reconciliation Platforms (such as
• Product and project knowledge and experience. solving TLM)
• Able to identify gaps in knowledge, process, • Change management • Exposure to Research Databases (such as
procedures and able to bridge the gaps via trainings, • Interpersonal Skills Bloomberg or IDC)
technology enhancement or change control process. • Stakeholder Management • Embrace
• Tests new technology solutions or improvements for • Able to work independently • NetX360
new and existing business needs and acts as a and drive self • Webstp2
subject matter expert. • Lotus Notes
• CI tool
• Conversion work station
• QMF (Query management Facility)

Reconciliation - Grade J (PM track) Back to Career Matrix
Bachelor’s degree or the equivalent combination of education and experience in business management or related field
Qualification
is required.
Experience 5-7 years of total work experience in reconciliation and accounting and 3-5 years of management experience
Role Summary:
The incumbent is responsible Manages a teams with a span between 10-15 staff, recruits, directs, motivates, coaches and develops staff, maximizing their individual
contributions, their professional growth and their ability to function effectively with their colleagues as a team. S/He is responsible to maintain Institutional Accounting
client operating Model Own client interaction, escalation, delivering GIA model, and direct access for the client. S/He is responsible to manages processes and provides
oversight of team to ensure that all records are maintained in accordance with departmental policies and procedures and team meets the SLA. S/He should be able to
proactively identify risk related issues and be able to mitigate risk by putting appropriate controls around the same.
Incumbent is responsible to implement control changes across teams. Leverage VMB, WOW and other available acknowledgments - Identify in Huddles and Staff
meetings. Conduct monthly 1 on 1's plus skip level discussions and 1 x1 with Process owners to obtain staff level feedback for development and career opportunities.
The incumbent must be flexible for night shifts.
Competencies
• Basics knowledge of Accounting & financial products is • Strong verbal and written • Conflicts management & capacity planning etc. • Proficiency in MS Office (excel
required (understanding of different types of breaks communication skills • Ensures Accountability - Takes ownership of the and power point in particular)
while reconciling two books of records on the financial • Email and Telephone Etiquettes funds • Exposure to Accounting
products) • Analysis Skills • Drives Results Platforms
• Basics knowledge of cash/ accounting processing. • Prioritization – Time Management • Builds Effective Teams (IAS/CMS/GSP/IMMS/C2IMS/In
• Life cycle of trade • Innovation & Problem solving • Developing Partnerships vestOne/Eagle)
• Knowledge of reconciliation (understanding on how to • Change management • Measuring Client satisfaction through inquiry • Workbench
resolve the breaks by working with upstream and • Interpersonal Skills management: • (ICO (Instruction capture
downstream processes) • Timely escalations • Work closely with management to develop business online)/Nexen/ treasury edge)
• Provide oversight for aged breaks and effectively • Track productivity of team and operational strategy • Exposure to reconciliation
escalate issues to resolve the proofs. • Huddle boards -Identify and implement continuous Platforms (such as TLM)
• Review NAV for tolerance exceptions Improvement Ideas - using PE tools to solve • Exposure to Research
• Knowledge to maintain metrics to track the Business Problems. Huddle board roaming (go to Databases (such as Bloomberg
exceptions/differences. other huddle board to share idea and learn how or IDC)
• Understanding Risks (SLA/ TAT/Internal Cash deadline) other teams are managing PE huddles) • Embrace
• Record client custom activity • Transparency - Escalate and update digital pulse, • NetX360
• Client overdraft Reporting (Overdraft/ treasury understand root cause, client impact and issue • Webstp2
reporting) resolution. • Lotus Notes
• Identification of Complex Break items and Resolution - • CI tool
Root cause & NAV Impact • Conversion work station
• Ensures all questions are answered and issues are • QMF (Query management
resolved. Facility)
• Tests new technology solutions or improvements for
new and existing business needs and acts as a subject
matter expert.

Accounting - Grade J (PM track) Back to Career Matrix
Bachelor’s degree in accounting or the equivalent combination of education and experience is required. Management
Qualification
degree would be preferred.
Experience 5-7 years of total work experience in fund accounting and 3-5 years of management experience
Role Summary:
The incumbent is responsible Manages a teams with a span between 10-15 staff, recruits, directs, motivates, coaches and develops staff, maximizing their individual
contributions, their professional growth and their ability to function effectively with their colleagues as a team. S/He is responsible to maintain Institutional Accounting
client operating Model Own client interaction, escalation, delivering GIA model, and direct access for the client. S/He is responsible to manages processes and provides
oversight of team to ensure that all records are maintained in accordance with departmental policies and procedures and team meets the SLA. S/He should be able to
proactively identify risk related issues and be able to mitigate risk by putting appropriate controls around the same.
Incumbent is responsible to implement control changes across teams. Leverage VMB, WOW and other available acknowledgments - Identify in Huddles and Staff
meetings. Conduct monthly 1 on 1's plus skip level discussions and 1 x1 with Process owners to obtain staff level feedback for development and career opportunities.
Competencies
• Basic knowledge of Accounting • Strong verbal and written • People management skill. - Work allocation, • Proficiency in MS Office (excel
• Product knowledge - basics of Bonds, equity and communication skills • Leave planning, backup planning, conflicts in particular)
derivatives. • Email and Telephone Etiquettes management & capacity planning • Exposure to Accounting
• Review NAV for tolerance exceptions • Analysis Skills • Ensures Accountability - Takes ownership of the Platforms
• Trouble shooting on issues • Effective Time Management funds/ clients. (IAS/CMS/GSP/IMMS/Investone
• Identification of Complex Break items and Resolution - • Strong Interpersonal Skills • Measuring Client satisfaction through inquiry )
Root cause & NAV Impact • Effective escalation handling. management: • CI tool
• Help to ensure a holistic and proactive approach is • Ability to conduct training • Work closely with management to develop business • Workbench
taken when managing all aspects of Intuitional service sessions for less experienced and operational strategy • Mobius
delivery team members • Huddle boards -Identify and implement continuous • Nexen
• Monitoring quality and performance levels, for • Guiding less experienced team Improvement Ideas - using PE tools to solve • NetX360
touchpoint into the clients members to resolve issues Business Problems. Huddle board roaming (go to • My GTM
• Central Point of escalation for GIA related items related to their funds other huddle board to share idea and learn how • Webstp
• Liaison with Front Office for all Accounting discussions • Prioritization – Time Management other teams are managing PE huddles) • Exposure to Research
• Ownership of Client SLA’s (including client reporting) • Innovation & Problem solving • Transparency - Escalate and update digital pulse, Databases (such as Bloomberg)
• Oversee Day to Day and Monthly delivery • Change management understand root cause, client impact and issue
• Internal and external escalation of any issues • Interpersonal Skills resolution.
• Accounting related - Client change management • Timely escalations • Implement control changes across teams.
• Continuous Improvement – NAV Production and Client • Leverage VMB, WOW and other available
– Reporting acknowledgments - Identify in Huddles and Staff
• Ad Hoc reporting generation meetings
• Audit Support • Monthly 1 on 1's Plus skip level discussions and 1 x1
• Oversight on Quarterly and Annual Client Reporting with Process owners to obtain staff level feedback
for development and career opportunities.

GIA
Lead Manager Role - K
Reconciliation
Accounting

GIA Reconciliation - Grade K (PM track) Back to Career Matrix
Qualification Bachelor's degree in Commerce or Finance required. MBA/CFA/CA preferred.
8-10 years of experience is preferred with at least 2-4 years in management. Experience in brokerage/banking operations/ reconciliation
Experience
processes preferred.
Role Summary:
The incumbent will be responsible for the day to day running of various teams under the GIA Line of Business. He/she must ensure that the team is working efficiently and
effectively in meeting the SLA targets. He/she must monitor quality and productivity maintaining both to the highest standard. Ability to read, analyze and interpret general
business periodicals, professional journals and technical procedures. Ability to write reports, business correspondence and procedure manuals. Ability to effectively present
information and respond to questions from groups of managers and clients is required. Identify Strategy / Control changes / Implement across Teams with peers.
Maintain Institutional Accounting client operating Model - own - client interaction, escalation, delivering GIA model direct access for the client. Internal and External Audit
Coordinator - govern / Develop Audit prep and end to end management. Ensure accurate and timely review of requests and auditor interaction. Promote and Educate Risk
culture and transparency - Timely escalation and reporting of client impacts - NAV errors, Events, missed deliverables and revisions. Measuring Client satisfaction through
inquiry management, Participation in Client meetings, RFPS, service reviews - Organization of needed documents for client meetings.
Incumbent is responsible to implement control changes across teams. Leverage VMB, WOW and other available acknowledgments - Identify in Huddles and Staff meetings.
Conduct monthly 1 on 1's plus skip level discussions and 1 x1 with Process owners to obtain staff level feedback for development and career opportunities.
Competencies
• Technical/ Functional • Professional • Leadership • Systems
• Basics knowledge of Accounting • Strong verbal and written • Manages a medium to large-sized team or • Proficiency in MS Office (excel and
• Product knowledge communication multiple small teams of reconciliation power point in particular)
• Knowledge about derivative products and • Analytical skills responsible for conducting daily and monthly • Exposure to Accounting Platforms
ability to work on complex funds. • Decision making reconciliation for assigned clients. (IAS/CMS/GSP/IMMS/C2IMS/InvestO
• Knowledge of securities and Fund accounting • Team management - • Collaborate and manages relationships with ne/Eagle)
theories and practices. conflict management. internal departments and investment • Workbench
• Record client specific activity • Change management managers and resolves any escalated issues • (ICO (Instruction capture
• Knowledge of Regulatory Reporting • Digital Savvy related to fund calculations and accounting. online)/Nexen/ treasury edge)
(SORP/ONS/ERISA reporting) • Stakeholder management • Recruits, directs, motivates and develops • Exposure to reconciliation Platforms
• End to End business/ process knowledge • Interpersonal skills – staff, maximizing their individual contribution, (such as TLM)
required collaboration their professional growth and their ability to • Exposure to Research Databases
• Evaluates GAAP and/or IFRS rules to • Presentation skills function effectively with their colleagues as a (such as Bloomberg or IDC)
determine impact of new regulations on BNY team. • Embrace
Mellon fund accounting practices. • Huddle boards -Identify continuous • NetX360
• Leads regulatory reporting for large or Improvement Ideas - using PE tools to solve • Webstp2
multiple team(s). Business Problems - Review results from • Lotus Notes
• RSCA Review Huddles to enhance business model - PE • CI tool
• Identifies and implements process tools - fishbone - 5 ways and pared charts - • Conversion work station
improvements to improve the experience for Huddle board roaming (go to other huddle • QMF (Query management Facility)
all stakeholders board to share idea and learn how other
• Implement control changes across teams teams are managing PE heddles)

GIA Accounting - Grade K (PM track) Back to Career Matrix
Qualification Bachelors degree or the equivalent combination of education and experience in business management or related field is preferred.
Experience 8-10 years of experience is preferred with at least 2-4 years in management. Experience in brokerage/banking operations/ accounting preferred.
Role Summary:
The incumbent will be responsible for the day to day running of various teams under the GIA Line of Business. He/she must ensure that the team is working efficiently and
effectively in meeting the SLA targets. He/she must monitor quality and productivity maintaining both to the highest standard. Ability to read, analyze and interpret general
business periodicals, professional journals and technical procedures. Ability to write reports, business correspondence and procedure manuals. Ability to effectively present
information and respond to questions from groups of managers and clients is required. Identify Strategy / Control changes / Implement across Teams with peers.
Maintain Institutional Accounting client operating Model - own - client interaction, escalation, delivering GIA model direct access for the client. Internal and External Audit
Coordinator - govern / Develop Audit prep and end to end management. Ensure accurate and timely review of requests and auditor interaction. Promote and Educate Risk
culture and transparency - Timely escalation and reporting of client impacts - NAV errors, Events, missed deliverables and revisions. Measuring Client satisfaction through inquiry
management, Participation in Client meetings, RFPS, service reviews - Organization of needed documents for client meetings.
Incumbent is responsible to implement control changes across teams. Leverage VMB, WOW and other available acknowledgments - Identify in Huddles and Staff meetings.
Conduct monthly 1 on 1's plus skip level discussions and 1 x1 with Process owners to obtain staff level feedback for development and career opportunities. The incumbent must
be flexible for night shifts.
Competencies
• Basics knowledge of Accounting • Strong verbal and written • Manages a medium to large-sized team or • Proficiency in MS Office (excel and
• Product knowledge communication multiple small teams of reconciliation power point in particular)
• Knowledge about derivative products and • Analytical skills responsible for conducting daily and monthly • Exposure to Accounting Platforms
ability to work on complex funds. • Decision making reconciliation for assigned clients. (IAS/CMS/GSP/IMMS/C2IMS/Inves
• Knowledge of securities and Fund accounting • Team management - • Collaborate and manages relationships with tOne/Eagle)
theories and practices. conflict management. internal departments and investment • Workbench
• Record client specific activity • Change management managers and resolves any escalated issues • (ICO (Instruction capture
• Knowledge of Regulatory Reporting • Digital Savvy related to fund calculations and accounting. online)/Nexen/ treasury edge)
(SORP/ONS/ERISA reporting) • Stakeholder management • Recruits, directs, motivates and develops • Exposure to reconciliation
• End to End business/ process knowledge • Interpersonal skills – staff, maximizing their individual contribution, Platforms (such as TLM)
required collaboration their professional growth and their ability to • Exposure to Research Databases
• Evaluates GAAP and/or IFRS rules to • Presentation skills function effectively with their colleagues as a (such as Bloomberg or IDC)
determine impact of new regulations on BNY team. • Embrace
Mellon fund accounting practices. • Huddle boards -Identify continuous • NetX360
• Leads regulatory reporting for large or multiple Improvement Ideas - using PE tools to solve • Webstp2
team(s). Business Problems - Review results from • Lotus Notes
• RSCA Review Huddles to enhance business model - PE • CI tool
• Identifies and implements process tools - fishbone - 5 ways and pared charts - • Conversion work station
improvements to improve the experience for all Huddle board roaming (go to other huddle • QMF (Query management Facility)
stakeholders board to share idea and learn how other
• Implement control changes across teams teams are managing PE heddles)

GFASS & FA TCM

Click here for
Learning Pathway
GFASS & FA TCM Overview
GFASS: Global Fund Accounting Support Service is the team which performs reconciliations between
accounting and custody books of records. Team is responsible to investigate the difference on open
exceptions and route it to responsible team for resolution. Team offers below highlighted services on daily
basis:
• Cash Recon: Reconciliation of cash transaction and balances between accounting and custody.
• Position Recon: Reconciliation of positions between accounting and custody.
• Out of Bank Recon: Reconciliation of out of bank positions held at broker with accounting.
• Tax Reclaim Recon: Reconciliation of tax reclaims between accounting and custody.
• Central Admin: Administration and maintenance of funds on TLM.
• Survey Dissemination: Preparing survey reports for credit rating agencies.
• Cash Availability: Preparing available cash sheet and sending it to sub advisors and Investment Managers
FA TCM: Fund Accounting Trade Capture Management is responsible to post trades on accounting platform and performing trade related
controls.

GFASS & FA TCM Career Matrix
Lead Manager, (K), Lead Manager, (K), Lead Manager, (K), Lead Manager, (K),
PM PM PM PM
Manager, (J), Manager, (J), Manager, (J), Manager, (J),

PM PM PM PM
Lead Analyst, Lead Rep Sp, Lead Analyst, Lead Rep Sp,
Job Complexity
(I), IC (H), PM (I), IC (H), PM

Sr Analyst, (H), Sr Analyst, (H),
Support Support
Sr. Rep, (G), Sr. Rep, (G),

Support Support
Inter. Rep, (F), Inter. Rep, (F),

Support Support
Investor Servicing
TCM
Legend

Navigation
Functional

Cross


GFASS & FA TCM Job Code Family

Inter. Representative, Fund/Client
1 70513 Support
Accounting
Sr. Representative, Fund/Client
2 70512 Support
Accounting
3 70509 Sr Analyst, Fund/Client Accounting Support
Lead Representative Supervisor,
4 70511 Management
Fund/Client Accounting
5 70508 Lead Analyst, Fund/Client Accounting Individual Contributor
6 70506 Manager, Fund/Client Accounting Management
7 70505 Lead Manager, Fund/Client Accounting Management

Growth Matrix :
Sr.
Sr.
Representative
Representative
(G)
(G)
GFASS
FA TCM
Reconciliation
Inter.
Representative Inter.
Representative
(F) (F)
GFASS FA TCM
Reconciliation

GFASS & FA TCM – Cross Functional Career Matrix
Instructions
CT & CT Analytics - Cash
CT & CT Analytics -
Reconciliation (CD0) - US &
DLM/QSR (Recon)
Reconciliations Processes under GFASS &
EMEA FA TCM

GIA - Reconciliation - GIA &
AIS - Recon
Global
further details
Click on “GFASS & FA TCM” in

EMEA TA – Reconciliation cross-functional Navigation to
Investor Services come back to this page
TCM
Treasury Services -Cash

HedgeMark-Hedge Fund -
Operations
Holding Reconciliation
DSD -Custody Processing MOO -Trade Processing

GFASS - Grade F – (Support Track)
Qualification Bachelor’s Degree (Commerce and Business Administration Preferred)
Experience 1-2 years of total work experience preferred; experience in accounting and support functions preferred.
Role Summary: Individual is expected to do below mentioned key activities

• Perform timely and accurate reconciliation between accounting and custody records.
• Perform matching and put comments/narrations all open exceptions through research and investigation.
• Raise queries based on investigation and research done and track resolution of open exceptions.
• Respond to any queries for the funds processed by individual.
• Escalate to supervisor or manager in case of any issues/no response to query/unusual volumes, etc.
• Meet all agreed SLA with fund accounting teams.
Competencies
• Basics of Capital Markets and instruments • Strong verbal and • NA • Proficiency in MS
(Equity, Bond, Mutual Funds, Etc.) written communication Office (excel in
• Basics of Accounting and Reconciliations. skills particular)
• Life cycle of a trade • Email and Telephone • Exposure to
• Basics of manual income calculation Etiquettes Reconciliation
calculations on equity and fixed income products • Prioritization - Time Platform (Such as
(Dividend & Interest) Management TLM)
• Innovation & Problem • Exposure to Research
solving Databases (Such as
• Change management Bloomberg or IDC)
• Timely Escalations

GFASS - Grade G – (Support Track)
Bachelor’s Degree (Commerce and Business Administration Preferred)
Qualification
Post Graduation (Business & Finance Preferred)
Role Summary: Individual is expected to do below mentioned key activities:

• Review/Perform timely and accurate reconciliation performed by admin between accounting and custody records.
• Review/Put comments/narrations on all open exceptions through research and investigation.
• Review /Raise queries based on investigation and research done and track resolution of open exceptions.
• Respond to any queries for the funds processed by individual.
• Escalate to Team Lead or manager in case of any issues/no response to query/unusual volumes, etc.
• Mark internal errors based on reviews and provide training needs of admins to TL/Manager
Competencies
• Basics of Accounting and Reconciliations skills particular)
calculations on equity and fixed income products • Prioritization - Time Platform (such as
• Understanding of various types of Corporate • Innovation & Problem • Exposure to
Actions and its impact on NAV solving Accounting and
• SME (Subject Matter Expert) in Reconciliations, • Change management Custody Platforms
Fund Accounting and its utilities • Interpersonal Skills (Such as InvestOne,
• Understanding root cause of open exceptions • Timely escalations Eagle, Mainframe, Etc)
and putting efforts to resolve it as soon as • Analytical Skills • Exposure to Research
possible • Ability to answer Databases (Such as
queries of admins Bloomberg or IDC)
• Ability to give trainings
to admins

GFASS - Grade H – (Support Track)
Qualification

• Review comments/narrations on all open exceptions through research and investigation.
• Review /Raise queries based on investigation and research done and track resolution of open exceptions.
• Escalate exceptions to multiple utilities in case of any issues/no response to query/unusual volumes, etc.
• Identify key risk items and highlight it to fund accounting teams.
• Mark errors on RAG parameters for multiple utilities responsible for handling and resolution of exception.
Competencies
• Basics of Accounting and Reconciliations skills particular)
calculations on equity and fixed income products • Prioritization - Time Platform (such as
• Understanding of various types of Corporate • Innovation & Problem • Exposure to
Actions and its impact on NAV solving Accounting and
• SME (Subject Matter Expert) in Reconciliations, • Change management Custody Platforms
Fund Accounting and its utilities • Interpersonal Skills (Such as Invest One,
• Understanding root cause of open exceptions • Timely escalations Eagle, Mainframe,
and putting efforts to resolve it as soon as • Analytical Skills Etc.)
possible • Ability to answer • Exposure to Research
• Timely escalations and oversight queries Databases (Such as
• Ability to give trainings Bloomberg or IDC)
• Project Management

GFASS - Grade H – (People Management Track)
Qualification
4-6 years of total work experience preferred; 1-2 years of team handling experience is preferred; experience in
Experience
accounting and support functions preferred.

• Monitor reconciliations and ensure meeting internal SLA’s.
• Prepare and monitor admin and supervisor allocation.
• Weekly calls with utilities to understand delivery issues and resolution on aged breaks.
• Timely review of material and aged exceptions.
• Analysis of internal and external errors and working upon action areas.
• Deliver refresher trainings and new joiners training.
• Attend project calls for new fund launch, closure or any change for the fund.
Competencies
• Basics of Capital Markets and instruments • Strong verbal and written • People Management - • Proficiency in MS Office
(Equity, Bond, Mutual Funds, Etc.) communication skills Work Allocation, (excel in particular)
• Basics of Accounting and Reconciliations • Email and Telephone Leave Planning & • Exposure to
• Life cycle of a trade Etiquettes Management, Backup Reconciliation Platform
• Basics of manual income calculation • Prioritization - Time Planning, Conflicts (such as TLM)
calculations on equity and fixed income products Management Management, • Exposure to Accounting
(Dividend & Interest) • Innovation & Problem solving Capacity Planning, and Custody Platforms
• Understanding of various types of Corporate • Change management Etc. (Such as Invest One,
Actions and its impact on NAV • Interpersonal Skills • Ensures Accountability Eagle, Mainframe, Etc.)
• SME (Subject Matter Expert) in Reconciliations, • Timely escalations - Takes ownership of • Exposure to Research
Fund Accounting and its utilities • Analytical Skills the clients and people Databases (Such as
• Understanding root cause of open exceptions • Ability to answer queries of • Drives Results Bloomberg or IDC)
and putting efforts to resolve it as soon as admins • Builds Team Bonding
possible • Ability to give trainings to • Developing
• Timely escalations and oversight admins Partnerships (Internal
• Awareness and managing key process • Project Management and External
documents (KPI, KRI, RCSA, SOP, SOW Etc.) • Giving Feedback and Stakeholders)
Coaching

GFASS - Grade I – (Individual Contributor Track)
Bachelor’s Degree (Commerce and Business Administration Preferred), Post Graduation (Business & Finance
Qualification
Preferred)

• Preparing key MIS on headcount, volumes, productivity, etc. and deliver on time.
• Preparing trend analysis on high volumes and root cause of exceptions.
• Escalate/highlight technology issues and identify root cause.
Competencies
• Basics of Capital Markets and instruments (Equity, • Strong verbal and written • NA • Proficiency in MS Office (Word,
Bond, Mutual Funds, Etc.) communication skills Excel and Power point in
• Basics of Accounting and Reconciliations • Email and Telephone particular)
• Life cycle of a trade Etiquettes
• Eye for details in preparing MIS • Prioritization - Time
• Understanding of multiple tools available within MS Management
Office of preparing MIS, Presentations and Reports • Innovation & Problem solving
for Team and Senior Management • Change management
• Analytical Skills
• Ability to answer queries
• Ability to give trainings
• Project Management

GFASS - Grade J – (People Management Track)
Qualification
Experience
Role Summary: Monitor reconciliations and ensure meeting internal SLA’s. Timely review of material and aged exceptions. Conduct
team meetings and pass updates to team members. Complete workforce assessment for process, recruit new staff, motivate and groom
staff to get the maximum contribution from them. Ensure that any reconciliation changes updated seamlessly.
Competencies
• Basics of Capital Markets and instruments • Strong verbal and written • People Management - • Proficiency in MS Office
(Equity, Bond, Mutual Funds, Etc.) communication skills Work Allocation, (excel in particular)
• Basics of Accounting and Reconciliations • Email and Telephone Leave Planning & • Exposure to Reconciliation
• Life cycle of a trade Etiquettes Management, Backup Platform (such as TLM)
• Basics of manual income calculation • Prioritization - Time Planning, Conflicts • Exposure to Accounting and
calculations on equity and fixed income products Management Management, Custody Platforms (Such as
(Dividend & Interest) • Innovation & Problem Capacity Planning, Invest One, Eagle,
• Understanding of various types of Corporate solving Etc. Mainframe, Etc.)
Actions and its impact on NAV • Change management • Ensures Accountability • Exposure to Research
• SME (Subject Matter Expert) in Reconciliations, • Interpersonal Skills - Takes ownership of Databases (Such as
Fund Accounting and its utilities • Timely escalations the clients and people Bloomberg or IDC)
• Understanding root cause of open exceptions • Analytical Skills • Drives Results • Exposure to SWIFT's and
and putting efforts to resolve it as soon as • Ability to answer queries of • Builds Team Bonding understanding of various
possible admins • Developing SWIFT messages.
• Timely escalations and oversight • Ability to give trainings to Partnerships (Internal
• Awareness and managing key process admins and External
documents (KPI, KRI, RCSA, SOP, SOW Etc.) • Project Management Stakeholders)
• Giving Feedback and
Coaching

GFASS - Grade K – (People Management Track)
Qualification
Experience
Role Summary: Monitor reconciliations and ensure meeting internal SLA’s. Oversees implementation of new reconciliation project,
Competencies
• Basics of Capital Markets and instruments • Strong verbal and written • People Management - • Proficiency in MS
(Equity, Bond, Mutual Funds, Etc.) communication skills Work Allocation, Leave Office (excel in
• Basics of Accounting and Reconciliations • Email and Telephone Etiquettes Planning & Management, particular)
• Life cycle of a trade • Prioritization - Time Management Backup Planning, Conflicts • Exposure to
• Basics of manual income calculation • Innovation & Problem solving Management, Capacity Reconciliation
calculations on equity and fixed income • Change Management Planning, Etc. Platform (such as
products (Dividend & Interest) • Interpersonal Skills • Ensures Accountability - TLM)
• Understanding of various types of • Timely Escalations Takes ownership of the • Exposure to
Corporate Actions and its impact on NAV • Data Analytical Skills clients and people Accounting and
• SME (Subject Matter Expert) in • Ability to answer queries of • Drives Results Custody Platforms
Reconciliations, Fund Accounting and its admins • Builds Team Bonding (Such as Invest One,
utilities • Ability to give trainings to admins • Developing Partnerships Eagle, Mainframe,
• Understanding root cause of open • Project Management (Internal and External Etc.)
exceptions and putting efforts to resolve it • Resource Management Stakeholders) • Exposure to Research
as soon as possible • Giving Feedback and Coaching • Manages Complexity Databases (Such as
• Timely escalations and oversight • Goal/Objective Setting • Decision Making Bloomberg or IDC)
• Awareness and managing key process • Exposure in managing multiple • Identification of patterns • Exposure to SWIFT's
documents (KPI, KRI, RCSA, SOP, SOW small teams and trends and providing and understanding of
Etc.) solution with root cause various SWIFT
analysis. messages.

FA TCM - Grade F – (Support Track)
Qualification Bachelor’s Degree (Commerce and Business Administration Preferred)

• Perform timely and accurate booking of trades on accounting platform.
• Respond to any queries for the funds raised by stakeholders.
• Escalate to supervisor or manager in case of any issues/no response to query/unusual volumes, etc.
Competencies
• Basics of Capital Markets and instruments • Strong verbal and written • NA • Proficiency in MS Office
(Equity, Bond, Mutual Funds, Etc.) communication skills (excel in particular)
• Life cycle of a trade • Email and Telephone Etiquettes • Exposure to Accounting
• Prioritization - Time Management Platforms (Such as
• Innovation & Problem solving Invest One, Eagle, Etc.)
• Change management • Exposure to Research
• Interpersonal Skills Databases (Such as
• Timely Escalations Bloomberg or IDC)

FA TCM - Grade G – (Support Track)
Qualification
Preferred)

• Review/Process trades on accounting platform on timely and accurate manner.
• Review/ all control checks on each trade processed.
• Review /Raise queries based on investigation and research done on any open trade.
• Respond to stakeholders queries on open/processed trade.
• Escalate to Team Lead or manager in case of any issues/no response to query/unusual volumes, etc.
• Mark internal errors based on reviews and provide training needs of admins to TL/Manager
Competencies
• Basics of Capital Markets and instruments • Strong verbal and written • Developing Partnerships • Proficiency in MS Office
(Equity, Bond, Mutual Funds, Etc.) communication skills • Be accountable (excel in particular)
• Life cycle of a trade • Email and Telephone Etiquettes • Innovation • Exposure to Accounting
• SME (Subject Matter Expert) in Trade • Prioritization - Time Management Platforms (Such as
Processing, Fund Accounting and its utilities • Innovation & Problem solving Invest One, Eagle, Etc.)
• Understanding root cause of internal and • Change management • Exposure to Research
external queries and putting efforts to resolve it • Interpersonal Skills Databases (Such as
as soon as possible • Timely escalations Bloomberg or IDC)
• Analytical Skills
• Ability to answer queries of admins
• Ability to give trainings to admins

FA TCM - Grade H – (Support Track)
Qualification
Preferred)

• Review /Raise queries based on investigation and research done on any open/processed trade.
• Implement all the changes with approach on processing trades.
• Timely maintenance and updates of procedures.
Competencies
• Basics of Capital Markets and instruments • Strong verbal and written • NA • Proficiency in MS
(Equity, Bond, Mutual Funds, Etc.) communication skills Office (excel in
• Life cycle of a trade • Email and Telephone Etiquettes particular)
• SME (Subject Matter Expert) in Trade • Prioritization - Time Management • Exposure to
Processing, Fund Accounting and its • Innovation & Problem solving Accounting Platforms
utilities • Change management (Such as Invest One,
• Understanding root cause of open trade • Interpersonal Skills Eagle, Etc.)
queries and putting efforts to resolve it as • Timely escalations • Exposure to Research
soon as possible • Analytical Skills Databases (Such as
• Timely escalations and oversight • Ability to answer queries Bloomberg or IDC)
• Ability to give trainings • Exposure to SWIFT's
• Project Management and understanding of
various SWIFT
messages.

FA TCM - Grade H – (People Management Track)
Qualification
Preferred)
Experience

• Monitor trade processing and ensure meeting internal SLA’s.
• Prepare and monitor admin and supervisor allocation.
• Timely review of control checks on trade processed/open.
• Analysis of internal and external errors and working upon action areas.
• Deliver refresher trainings and new joiners training.
• Attend project calls for new fund launch, closure or any change for the fund.
• Team management and providing feedback.
Competencies
• Life cycle of a trade • Email and Telephone Etiquettes Planning & Management, particular)
• SME (Subject Matter Expert) in Trade • Prioritization - Time Management Backup Planning, Conflicts • Exposure to
Processing, Fund Accounting and its • Innovation & Problem solving Management, Capacity Accounting Platforms
utilities • Change management Planning, Etc. (Such as Invest One,
• Understanding root cause of open trade • Interpersonal Skills • Ensures Accountability - Eagle, Etc.)
queries and putting efforts to resolve it as • Timely escalations Takes ownership of the • Exposure to Research
soon as possible • Analytical Skills clients and people Databases (Such as
• Timely escalations and oversight • Ability to answer queries of • Drives Results Bloomberg or IDC)
• Awareness and managing key process admins • Builds Team Bonding • Exposure to SWIFT's
documents (KPI, KRI, RCSA, SOP, SOW • Ability to give trainings to admins • Developing Partnerships and understanding of
Etc.) • Project Management (Internal and External various SWIFT
• Giving Feedback and Coaching Stakeholders) messages.

FA TCM - Grade I – (Individual Contributor Track)
Qualification
Preferred)

• Preparing key MIS on headcount, volumes, productivity, etc. and deliver on time.
• Preparing trend analysis on high volumes and root cause of exceptions.
• Escalate/highlight technology issues and identify root cause.
• Project management and handling business change activities and client onboarding for utility.
• Completion of Technical set-up.
Competencies
• Basics of Capital Markets and instruments • Strong verbal and written • NA • Proficiency in MS
(Equity, Bond, Mutual Funds, Etc.) communication skills Office (excel in
• Life cycle of a trade • Email and Telephone Etiquettes particular)
• SME (Subject Matter Expert) in Trade • Prioritization - Time Management • Exposure to
Processing, Fund Accounting and its • Innovation & Problem solving Accounting Platforms
utilities • Change management (Such as Invest One,
• Understanding root cause of open trade • Interpersonal Skills Eagle, Etc.)
queries and putting efforts to resolve it as • Timely escalations • Exposure to Research
soon as possible • Analytical Skills Databases (Such as
• Timely escalations and oversight • Ability to answer queries Bloomberg or IDC)
• Should be expert in handling client calls • Ability to give trainings • Exposure to SWIFT's
and queries for trades. • Project Management and understanding of
various SWIFT
messages.

FA TCM - Grade J – (People Management Track)
Qualification
Preferred)
Experience
Role Summary: Monitor trade processing and ensure meeting internal SLA’s. Perform timely control checks on trades processed and its
impact on the fund. Conduct team meetings and pass updates to team members. Complete workforce assessment for process, recruit
new staff, motivate and groom staff to get the maximum contribution from them. Ensure that any reconciliation changes updated
seamlessly.
Competencies
• Understanding of various types of trades • Prioritization - Time Management Backup Planning, Conflicts • Exposure to
and its impact on NAV • Innovation & Problem solving Management, Capacity Accounting Platforms
• SME (Subject Matter Expert) in Trade • Change management Planning, Etc. (Such as Invest One,
Processing, Fund Accounting and its • Interpersonal Skills • Ensures Accountability - Eagle, Etc.)
utilities • Timely escalations Takes ownership of the • Exposure to Research
• Understanding root cause of open trade • Analytical Skills clients and people Databases (Such as
queries and putting efforts to resolve it as • Ability to answer queries of • Drives Results Bloomberg or IDC)
soon as possible admins • Builds Team Bonding • Exposure to SWIFT's
• Timely escalations and oversight of trade • Ability to give trainings to admins • Developing Partnerships and understanding of
processing • Project Management (Internal and External various SWIFT
• Awareness and managing key process • Giving Feedback and Coaching Stakeholders) messages.
documents (KPI, KRI, RCSA, SOP, SOW
Etc.)

FA TCM - Grade K – (People Management Track)
Qualification
Preferred)
Experience
Role Summary: Monitor trade processing and ensure meeting internal SLA’s. Oversees implementation of new trade project, migration
related tasks and understand the impact of project on Team. Oversee process trending around trade processing, error management,
maintain related documents and provide process related enhancement to consistently make process better. Mentor, Groom and motivate
staff so that the best outcome can be derived. Take regular skip level meetings to understand process and people problem within function
and address them effectively. Keep close watch on customer voice to understand where business is standing and how it can be improved
on performance and deliverables.
Competencies
• Understanding of various types of trades • Prioritization - Time Management Backup Planning, Conflicts • Exposure to
and its impact on NAV • Innovation & Problem solving Management, Capacity Accounting Platforms
• SME (Subject Matter Expert) in Trade • Change Management Planning, Etc. (Such as Invest One,
Processing, Fund Accounting and its • Interpersonal Skills • Ensures Accountability - Eagle, Etc.)
utilities • Timely Escalations Takes ownership of the • Exposure to Research
• Understanding root cause of open trade • Data Analytical Skills clients and people Databases (Such as
queries and putting efforts to resolve it as • Ability to answer queries of • Drives Results Bloomberg or IDC)
soon as possible admins • Builds Team Bonding • Exposure to SWIFT's
• Timely escalations and oversight of trade • Ability to give trainings to admins • Developing Partnerships and understanding of
processing • Project Management (Internal and External various SWIFT
• Awareness and managing key process • Resource Management Stakeholders) messages.
documents (KPI, KRI, RCSA, SOP, SOW • Giving Feedback and Coaching • Manages Complexity
Etc.) • Goal/Objective Setting • Decision Making
• Exposure in managing multiple • Identification of patterns
small teams and trends and providing
solution with root cause
analysis.

Financial Reporting

Click here for
Financial Reporting - Process Overview Learning Pathway
 Financial Reporting team’s in India is responsible for preparation of first draft Financial Statements and Schedule of
Investments.
Primary Statements Notes to Financial Statements Schedule of Investments
 Statement of Financial Position  Accounting Policies 1. Portfolio of Investments
 Statement of Changes in Net Assets  Revenue/Expenses
 Statement of Total Return  Taxation
 Distributions
 Debtors / Creditors
 Portfolio Risk Analysis
 Portfolio Transaction Costs
 Financial Highlights
 Incorporating changes suggested by the client or investment manager on the subsequent drafts
 Review of the templates – Consistency on notes and accounting standards
 Changes to the reporting platform including GL mapping and addressing day to day system challenges if any
 Proofing of ledger with sub-ledger to facilitate audit.
 Trustee packs, Expense reconciliation and Late trade identification.

Financial Reporting - Career Matrix
Lead Manager
(K) – (Mgt)
Manager
(J) – (Mgt)
Specialist
(J) – (IC)
Job Complexity
Lead Analyst
(I) – (IC)
Team lead
(I) - (Support)
Senior Analyst
(H) – (IC)
Lead Representative
(H) - (Support)
Analyst
(G) - (IC)
Senior Representative
(G) – (Support)
Legend Existing Roles In India
Job Role
Navigation
Functional

Cross


Job Code Family:
70496 Analyst, Fund Reporting Individual Contributor
70495 Senior Analyst, Fund Reporting Individual Contributor
70494 Lead Analyst, Fund Reporting Individual Contributor
70493 Specialist, Fund Reporting Individual Contributor
70499 Senior Representative, Fund Reporting Support
70498 Lead Representative, Fund Reporting Support
70497 Team Lead, Fund Reporting Support
70492 Manager, Fund Reporting Management
70491 Lead Manager, Fund Reporting Management
70490 Group Manager, Fund Reporting Management
70489 Senior Group Manager, Fund Reporting Management

Growth Matrix
Lead
Representative Senior Analyst
(H) - (Support) (H) – (IC)
Senior
Analyst
Representative
(G) - (IC)
(G) – (Support)

Financial Reporting – Cross Functional Career Matrix
Instructions
Processes under Financial

Reporting

Fund Accounting- Expense HedgeMark -Hedge Fund - with similar nature of work
Processing & Budgeting Risk Reporting

further details
Click on “Financial Reporting” in

Financial Reporting come back to this page

Lead Manager - Grade K (PM track) Back to Career Matrix
Qualification Qualified or Semi Qualified CA/ICMA/CS, CPA, CFA, MBA Finance, Masters/ Bachelor’s degree in Commerce.
Experience 10 + years of total work experience in Accounting/ reporting/ finance. 5+ years of experience in handling teams
Role Summary
High level review of Financial Statements ensuring compliance with Accounting standards, internal and external audit requests.
Maintain strategic relationships with clients and onshore. Team Development. Change Management. Talent Management. Conflict
Management. Drive knowledge and efficiency projects. Motivate staff. Plan and execute the growth of teams. Work closely with SME’s to
identify knowledge gaps in the team as evidenced in latest audit cycle or changes in regulations, standards or accounting treatments and
strategize to cater to the training and development needs.
Competencies

• Directs and sets priorities for processes that • Excellent verbal and written • Responsible for the • Able to adopt to digital
check for the completeness and accuracy of communication skills. achievement of multiple reporting and
disclosure in financial statements. Resolves • Proven experience in dealing with team goals and accounting platforms.
escalated issues from team members. internal/ external parties on accounting objectives, talent
• Oversees relationships with auditors and clients concepts/ standards. management and
to make changes to financial reports and ensure • Decision making on correct treatment of supervision of team
they accurately depict fund performance. Accounting Standards in Financial members.
• Ensures financial reporting meets Corporate and Statements.
any applicable regulatory standards. • Email and Telephone Etiquettes.
• Reviews changes in accounting and disclosure • Excellent analytical and problem solving
standards to direct process changes needed to skills.
ensure compliance. • Quest for domain expertise and drive
• Recruits, directs, motivates and develops staff, within teams.
maximizing their individual contribution, their • Handling pressure situations.
professional growth and their ability to function • Prioritization – Time Management.
effectively with their colleagues as a team. • Drive innovation within the team and able
to convert idea's to Project's resulting in
tangible benefits.
• Change management.
• Interpersonal Skills.

Manager - Grade J (PM track)
Qualification Qualified or Semi Qualified CA/ICMA/CS, CPA, CFA, MBA Finance, Masters/ Bachelor’s degree in Commerce
Experience 7-10 years of total work experience in Accounting/ reporting/ finance. Experience in client and audit interactions preferred.
Role Summary
High level review of Financial Statements ensuring compliance with Accounting standards, internal and external audit requests.
Ensure the quality of the day-to-day service equals or betters the performance targets as defined in the service level agreements (SLA’s) in place for
each Client. Monitor and review risks at periodic intervals to identify and assess new risks. Manage KPIs by identifying issues effectively. Liaise with
Onshore to ensure that auditors, clients and other interested parties have all relevant information for completing audits. Monitor the production schedule
to ensure that production are completed accurately and within the client deadline. Plan and track team’s development. Closely monitor the review
comments, identify changes in regulations, standards, accounting treatments and share with wider FR teams.
Competencies
• Manages processes for checking for the • Strong verbal and written • Ensures Accountability • Proficiency in MS Office
• completeness and accuracy of disclosure in communication skills. • Takes ownership of the (excel in particular)
financial statements. Resolves escalated issues • Competent to have conversation funds • Working knowledge of
from team members. with internal/ external parties on • Drives Results Financial Reporting
• Leads working relationships with auditors and accounting concepts/ • People management Platforms.
clients to make changes to financial reports and standards. skills - Work allocation,
ensure they accurately depict fund performance. • Explaining Auditors & Board of Leave planning, backup
• Reviews work of team to ensure financial Directors with supporting's for planning, conflicts
reporting meets Corporate and any applicable quantitative and qualitative management & capacity
regulatory standards. Oversees process disclosures in FS. planning etc.
changes needed to ensure compliance with any • Email and Telephone Etiquettes. • Builds Effective Teams.
new standards. • Excellent analytical and problem
• Assists in presenting fund reports to Board of solving skills.
Directors to ensure good governance and • Quest for learning.
communication of fund status. • Handling pressure situations.
• Recruits, directs, motivates and develops staff, • Prioritization – Time
maximizing their individual contribution, their Management.
professional growth and their ability to function • Innovation & Problem solving.
effectively with their colleagues as a team. • Change management.
• Responsible for the achievement of team goals • Interpersonal Skills.
and objectives, talent management and • Timely escalations.
supervision of team members.

Specialist - Grade J (IC track) Back to Career Matrix
Qualification Bachelor’s/ Masters degree in Commerce, MBA Finance, Semi qualified CA, Qualified ICMA, CS, Qualified CA, CPA, CFA
7-10 years of total work experience in Accounting/ reporting/ finance with experience in external client and audit interactions
Experience
as part of Financial Statement finalization.
Role Summary
Extensive review of Financial Statements ensuring compliance with Accounting standards, internal and external audit requests and point of
contact for identified clients. Assist in the preparation of year-end audit review package. Ensure the quality of the day-to-day service equals or
betters the performance targets as defined in the service level agreements (SLA’s) in place for each Client. Manage KPIs by identifying issues
effectively with strong accounting and financial securities knowledge. Liaise with Onshore to ensure that auditors, clients and other interested
parties have all relevant information for completing audits. Monitor the production schedule to ensure that production are completed accurately
and within the client deadline. Identify latest developments in standards and accounting treatments in the audit cycle and share with wider FR
teams.
Competencies

• Prepares and reviews accounting statements for • Strong verbal and written • Ensures Accountability • Proficiency in MS Office (excel
complex funds on behalf of clients. communication skills. • Takes ownership of the funds in particular)
• Drafts accounting statements and reports for more • Competent to have conversation • Drives Results • Working knowledge of Financial
complex funds, incorporating fund with internal/ external parties on • People management skills - Reporting Platforms.
calculations, for clients to review fund accounting concepts/ standards. Work allocation, Leave
performance. • Explaining Auditors & Board of planning, backup planning,
• Provides guidance on report structure and checks for Directors with supporting's for conflicts management &
the completeness and accuracy of disclosure. quantitative and qualitative capacity planning etc.
• Ensures financial reports meet Corporate and any disclosures in FS. • Builds Effective Teams.
applicable regulatory standards. Advises team on • Email and Telephone Etiquettes.
process changes needed to ensure compliance with • Excellent analytical and problem
any new standards. solving skills.
• Leads working relationships with auditors and clients • Quest for learning.
to make changes to financial reports and ensure they • Handling pressure situations.
accurately depict fund performance. • Prioritization – Time
• Presenting fund reports to Board of Directors to Management.
ensure good governance and communication of fund • Innovation & Problem solving.
status. • Change management.

Team lead - Grade I (Support track)
Bachelor’s/ Masters degree in Commerce with 4+ years experience in accounting/ MBA Finance, Semi qualified CA,
Qualification
Qualified ICMA, CS with 2+ years of experience in accounting/ Qualified CA, CPA, CFA.
Experience 5-7 years of total work experience in accounting/ finance/ reporting
Role Summary
Responsible for the preparation and review of annual and semi-annual financial statements for clients and for the management of all aspects of
the audit process. Responsible for a broad range of funds and produces financial statements under various GAAPs. Track performance of the
team. Maintain communication governance with team and onshore. Upkeep knowledge.
Competencies
• Assigns work to team members and more junior • Strong verbal and written • Ensures Accountability • Proficiency in MS Office
team leads in accordance with client priorities communication skills. • Takes ownership of the (excel in particular)
and regulatory deadlines. Ensures more junior • Competent to have conversation funds • Working knowledge of
team leads are aware of and meeting deadlines. with internal/ external parties on • Drives Results Financial Reporting
• Provides and requests the most complex data accounting concepts/ • People management Platforms.
and information needed to complete the fund standards. skills - Work allocation,
reports.. • Explaining Auditors & Board of Leave planning, backup
• Reviews work of more junior colleagues and Directors with supporting's for planning, conflicts
researches and resolves the most complex quantitative and qualitative management & capacity
errors. Reaches out to appropriate team disclosures in FS. planning etc.
members to obtain needed information. • Email and Telephone Etiquettes. • Builds Effective Teams.
• Ensures team members and more junior team • Excellent analytical and problem
leads adhere to Corporate and any applicable solving skills.
regulatory standards. • Quest for learning.
• Leads more junior team leads in the • Handling pressure situations.
development of processes to improve record • Prioritization – Time
management to maintain information and data Management.
needed for reports, improving team efficiency. • Innovation & Problem solving.
• Change management.

Lead Analyst- Grade I (IC track) Back to Career Matrix
Bachelor’s/ Masters degree in Commerce with 4+ years experience in accounting/ MBA Finance, Semi qualified CA,
Qualification
Qualified ICMA, CS with 2+ years of experience in accounting/ Qualified CA, CPA, CFA.
Experience 5-7 years of total work experience in accounting/ finance/ reporting
Role Summary
Point of contact from BKI preparation of annual and semi-annual financial statements for identified clients and for the management of all
aspects of the audit process. Responsible for a broad range of funds and produces financial statements under various GAAPs. Maintain
communication governance with onshore and auditors (for end to end processes). Knowledge sharing. Upkeep knowledge.
Competencies
• Processes the most complex accounting • Strong verbal and written • Ensures Accountability • Proficiency in MS Office
statements on behalf of BNY Mellon clients. communication skills. • Takes ownership of the (excel in particular)
Serves as team lead for multiple teams and • Competent to have funds • Working knowledge of
provides work direction for the teams. conversation with internal/ • Drives Results Financial Reporting
• Expert understanding of Accounting standards external parties on accounting • Builds Effective Teams. Platforms.
impacting Fund industry. concepts/standards.
• Product knowledge & valuations of various • Explaining Auditors & Board of
products. Directors with supporting's for
• Reviews work of more junior colleagues and quantitative and qualitative
checks for the completeness and accuracy of disclosures in FS..
disclosure. • Email and Telephone
• Collaborates with auditors and clients to make Etiquettes.
changes to financial reports and ensure they • Excellent analytical and
accurately depict fund performance. problem solving skills.
• Expert understanding of manual interest • Quest for learning.
calculations on fixed income products. • Handling pressure situations.
• Expert understanding of Fund Accounting and • Prioritization – Time
valuation concepts. Management.
• Expert knowledge in passing journal entries in • Innovation & Problem solving.
various scenarios. • Change management.

Senior Analyst- Grade H (IC track) Back to Career Matrix
Bachelor’s/ Masters degree in Commerce with 4+ years experience in accounting/ MBA Finance, Semi
Qualification
qualified CA, Qualified ICMA, CS with 2+ years of experience in accounting/ Qualified CA, CPA, CFA.
4+ years of work experience in preparation and review of Financial Statements , 2+ years for qualified CA,
Experience
CPA, CFA.
Role Summary
Responsible for the preparation and review of financial statements for clients. Comply with GAAP requirements. Liase with
onshore and auditors (end to end clients). Problem solving, Timely escalations. Upkeep knowledge.
Competencies

• Preparation and review of Financial • Strong verbal and written • Ensures Accountability • Proficiency in MS Office
Statements. communication skills. • Takes ownership of the (excel in particular)
• Ability to work on End-to-End clients • Email and Telephone funds • Working knowledge of
independently. Etiquettes. • Drives Results Financial Reporting
• Expert understanding of Accounting • Excellent analytical and Platforms.
standards impacting Fund industry. problem solving skills.
• Product knowledge & valuations of various • Quest for learning.
products. • Handling pressure
• Assists in collaborating with auditors and situations.
clients to make changes to financial reports • Prioritization – Time
and ensure they accurately depict fund Management.
performance. • Innovation & Problem
• Expert understanding of manual interest solving.
calculations on fixed income products. • Change management.
• Expert understanding of Fund Accounting • Interpersonal Skills.
and valuation concepts. • Timely escalations.
• Expert knowledge in passing journal entries
in various scenarios.

Lead Representative - Grade H (Support track) Back to Career Matrix
Qualification
4+ years of work experience in preparation and review of Financial Statements , 2+ years for qualified CA,
Experience
CPA, CFA.
Role Summary
Responsible for the preparation and review of financial statements for clients. Comply with GAAP requirements. Liase with onshore and
auditors. Problem solving. Timely escalations. Upkeep knowledge.
Competencies

• Supporting preparation and review of • Strong verbal and written • Ensures Accountability • Proficiency in MS Office
Financial Statements. communication skills. • Takes ownership of the (excel in particular)
• Assigns work to team members in • Email and Telephone funds • Working knowledge of
accordance with client priorities and Etiquettes. • Drives Results Financial Reporting
regulatory deadlines. • Excellent analytical and Platforms.
• Provides guidance to less experienced staff problem solving skills.
• Expert understanding of Accounting • Quest for learning.
standards impacting Fund industry. • Handling pressure
• Product knowledge & valuations of various situations.
products. • Prioritization – Time
• Expert understanding of manual interest Management.
calculations on fixed income products. • Innovation & Problem
• Expert understanding of Fund Accounting solving.
and valuation concepts. • Change management.
• Expert knowledge in passing journal entries • Interpersonal Skills.
in various scenarios. • Timely escalations.

Analyst- Grade G (IC track) Back to Career Matrix
Qualification
2-4 years of work experience in preparation and review of Financial Statements , 4+ years of total work
Experience
experience in preparation of Financial Statements for Non CA's.
Role Summary
Responsible for the preparation and review of financial statements for clients. Time management and timely escalations for
closure. Upkeep knowledge.
Competencies

• Preparation and review of Financial • Strong verbal and written • Drives Results • Proficiency in MS Office
Statements. communication skills. (excel in particular)
• Medium understanding of Accounting • Email and Telephone • Working knowledge of
standards impacting Fund industry. Etiquettes. Financial Reporting
• Product knowledge & valuations of various • Handling pressure Platforms.
products. situations.
• Basics of manual interest calculations on • Prioritization – Time
fixed income products. Management.
• Medium understanding of Fund Accounting • Interpersonal Skills.
• Assists in collaborating with auditors and
clients to make changes to financial reports
and ensure they accurately depict fund
performance.

Senior Representative - Grade G (Support track)
Qualification
2-4 years of work experience in preparation and review of Financial Statements , 4+ years of total work
Experience
experience in preparation of Financial Statements for Non CA's.
Role Summary
Responsible for supporting the preparation and review of financial statements for clients. Innovation & Problem solving. Timely escalations for
closure. Upkeep knowledge.
Competencies
• Supporting preparation and review of • Strong verbal and written • Drives Results • Proficiency in MS Office
Financial Statements. communication skills. (excel in particular)
• Medium understanding of Accounting • Email and Telephone • Working knowledge of
standards impacting Fund industry. Etiquettes. Financial Reporting
• Product knowledge & valuations of various • Handling pressure Platforms.
products. situations.
• Basics of manual interest calculations on • Innovation & Problem
fixed income products. solving.
• Medium understanding of Fund Accounting • Interpersonal Skills.
• Assists in collaborating with auditors and
clients to make changes to financial reports
and ensure they accurately depict fund
performance.

Global Risk Solutions

Click here for
Learning Pathway
GRS Business Overview
• Analytics : The Analytics team receives and processes Investment Manager’s monthly holdings data for Analytics Look through for
Clients. The Clients that are subscribed to the Look through get a view of their portion of Investments spread across different fund
managers which caters to their future investment decisions.
• Client Account Data Management (CAM) : The Client Account Management Servicing team is responsible for servicing inquiries
related to GRS product set-ups and maintenance. CAM team handles requests like : Monitoring new account openings, New Index
Requests, Pooled Fund explosion requests. The CAM team will review the request and if appropriate submit a Market Data Licencing
(MDL) form to the Office of Data Management (ODM) in order to establish approvals for client access to data. All such request are
received from Consultants.
• Index : The Index team is responsible for all Performance and Constituent indices including data accuracy and availability on
tables/database for use in reporting. Index data is sourced through vendors and are loaded systematically or manually on a monthly,
daily or quarterly basis based on vendor contracts. The team is also responsible for maintenance of Performance and Constituents
indices including data revisions, name changes, and index (or product) terminations.
• Compliance: Compliance is a premium service provided by Global Risk Solutions to BNY Mellon’s clients. The Financial Institutions
give their money to the money managers who invest the money on the clients’ behalf. These Financial Institutions have certain
restrictions on the sectors, asset classes, credit rating etc. (such as equity or fixed income) they can invest in. The External Fund
Manager`s portfolio holdings data comes to BNYM. The rules set by us in our systems for our clients are run against the portfolio. Any
exceptions that arise are reported to the client after validation. In addition to the above, Compliance Team also assists in addressing and
resolving client inquiries on Compliance reporting. The team also assists Consultants and Client CSRs to resolve all aspects of reporting
including set-up, reporting and maintenance of client database.
• Bridge support: Involve processing the accounting data for use within GRS; receiving holdings, NAV & transaction data files from
accounting sources performing a daily client check, validating daily and monthly exceptions.
• Production Support: Team is responsible for resolving all the queries raised by the client/dependency team regarding any data
validation between accounting to RAM. They also act as a secondary BA for product enhancement, Vendor Change Control, take care of
Stakeholder management and new client onboarding for DEU

GRS Business Overview
• BPS Development Team:

– GRS APS team provides automated solution for different GRS processes to improve the user experience using the latest technologies.
They perform Informatica development for IDE conversion projects.
– Provide first level production support for client/internal group issues within the Eureka Program.
• Asset Allocation Universe:

– The Universe Asset Allocation project baselined several composites and memberships which would be included in these new AAU
universes. This team provides ongoing support of these Universes, which involves setup, maintenance, quality checks, and
troubleshooting as new composites are identified.
• Business Analyst:
– This team is part of project portfolio which supports global business development projects.
– Responsible for project activities such as Requirement analysis, Requirement gathering, User acceptance testing, Product
enhancement.
– They support the Client Inquiry team in resolving tickets, bridge support team in case of any issues like NAV difference etc.,
• Performance and Reporting-

– GRS provides clients with performance and risk analysis of their portfolios along with reporting services which helps clients to compare,
analyze and understand their investment decisions. Core services includes calculating and comparing fund or portfolio performance to
benchmarks and reporting the same to client along with other products and services subscribed by client like Attribution and Manager
Comparison.

GRS - Career Matrix
Lead Manager, Lead Manager, Lead Manager,

(K-Management) (K-Management) Lead Manager,
(K-Management)
(PM Role) (PM Role) (K-Management)
(PM Role)
Manager, Manager, (PM Role)
Manager, Lead Manager,
(J-Management) (J-Management) Lead Analyst,
(J-Management) (K-Management)
(PM Role) (PM Role) (I-Support)
(PM Role) (PM Role)
Job Complexity
Lead Analyst, Lead Analyst, (IC Role)

Lead Developer, Lead Project
(I-Support) (I-Support) Senior Analyst
(I-Support) Manager, (I-Support)
(IC Role) (IC Role) H – IC (IC Role)
(IC Role)
Senior Analyst Senior Analyst (IC Role)
Senior Developer Lead Business
H – IC H – IC Analyst
H – IC Analyst
(IC Role) (IC Role) G – IC
(IC Role) H – IC (IC Role)
Analyst Analyst (IC Role)
Developer SG – IC. Business
G – IC G – IC Intermediate
G – IC Analyst
(IC Role) (IC Role) Representative,
(IC Role) (IC Role)
Intermediate Intermediate (F-Support)
Representative, Representative, Analyst,
(F-Support) (F-Support) Product Support Project Portfolio/
(F-Support)
Compliance
Analytics/Indices & CAM Performance & BPS Team
Legen
Servicing Reporting Existing Roles In India
d

Navigation
Functional

Cross


EMEA TA Job Code Family

70681 Intermediate Representative Support
70097 Analyst Individual Contributor
60056 Developer Individual Contributor
Senior Representative, Business Technology
Liaison
60085 Senior Developer Individual Contributor
70096 Sr. Analyst Individual Contributor
60082 Senior Business Analyst Individual Contributor
60112 Lead Business Analyst Individual Contributor
60115 Lead Developer Individual Contributor
70095 Lead Analyst Individual Contributor
70094 Manager Management
60246 Manager, Appl Development Individual Contributor
60267 Lead Manager, Project/Program Management Management
70093 Lead Manager Management

Growth Matrix :
G (IC Role)
Analytics/CAM
G (IC Role) Servicing G (IC Role)
Performance Reporting
F Grade
F (Support)
Analytics/CAM
(Support) F (Support)
Reporting
Servicing
Performance

GRS – Cross Functional Career Matrix
Instructions
Processes under GRS
Asset Servicing - GRS Asset Servicing - GRS Processes across functions


further details
Click on “GRS” in cross-

Analytics / Indices Performance &
functional Navigation to come
& CAM Services Reporting back to this page
GIA - Business Technology Liaison -

Client Activation - KYC Project
GIA & Global
Portfolio / BPS Team
Compliance
Production HedgeMark -Business Analyst

Support
DSD – SME
Asset Servicing - GRS
Client Experience - Custody Client

Services
Client Experience - Service Director

Group

Global Risks Solutions(Intermediate Representative)- Grade F (Support track)
Experience 0-3 years of total work experience preferred. Experience in capital markets preferred.
Role Summary: Responsible to create, co-ordinate and deliver accurate and timely performance measurement information;
analyze daily, monthly performance results to ensure time-sensitive, high quality reporting; and effectively assist
internal/external clients in the use of performance data and products.
Competencies
• Basic knowledge of Capital Market. • Strong verbal and • NA • Proficiency in MS
• Ability to work with mathematical concepts. written Office (outlook &
• Ability to apply concepts such as factions, communication skills excel in particular)
percentages, ratios and proportions, Dietz • Email and
and Modified Dietz method of calculating Telephone
returns to practical situations is required. Etiquettes
• Ability to read, analyze and interpret general • Analysis skills
business periodicals, professional journals • Prioritization – Time
and technical procedures. Ability to write Management
reports, business correspondence and • Innovation &
procedure manuals. Problem solving
• Change
Management
• Interpersonal skills

Global Risks Solutions(Analyst)- Grade G (IC track)
Experience 3-5 years of total work experience preferred. Experience in performance reporting preferred.
Role Summary: Responsible to create, co-ordinate and deliver accurate and timely performance measurement information; analyze
daily, monthly performance results to ensure time-sensitive, high quality reporting; and effectively assist internal/external clients in the use
of performance data and products. S/He is responsible for any client specific reports / requests that clients may request for.
Competencies
• Strong Knowledge of Capital Market • Strong verbal and • Ensures Accountability - Takes • Proficiency in MS
• A comprehensive knowledge of performance written communication ownership of the clients/ Office (outlook & excel
measurement, attribution, reporting, analytics skills projects in particular)
and the securities industry. • Email and Telephone • Drives Results
• Ability to work with mathematical concepts. Etiquettes • Developing Partnerships
Ability to apply concepts such as factions, • Analysis skills
percentages, ratios and proportions, Dietz and • Prioritization – Time
Modified Dietz method of calculating returns to Management
practical situations is required. • Innovation & Problem
• Ability to understand and resolve client inquiries solving
and effectively collaborating with the internal • Change Management
teams. • Interpersonal skills
• Ability to read, analyze and interpret general • Timely escalations
business periodicals, professional journals and • Decision making skills
technical procedures. Ability to write reports,
business correspondence and procedure
manuals.

Global Risks Solutions(Sr. Analyst)- Grade H (IC track)
Role Summary: Responsible to create, co-ordinate and deliver accurate and timely performance measurement information; analyze
daily, monthly performance results to ensure time-sensitive, high quality reporting; and effectively assist internal/external clients in the use
of performance data and products. Act as a Subject Master Expert for all the performance products and services for clients and internal
teams. Direct Client Servicing is core part of the job profile.
Competencies
• Strong Knowledge of Capital Market • Strong verbal and written • Ensures • Proficiency in MS
• A comprehensive knowledge of performance measurement, communication skills Accountability - Office (outlook &
attribution, reporting, analytics and the securities industry. • Email and Telephone Takes ownership excel in particular)
• Ability to work with mathematical concepts. Ability to apply Etiquettes of the clients/
concepts such as factions, percentages, ratios and • Analysis skills projects
proportions, Dietz and Modified Dietz method of calculating • Prioritization – Time • Drives Results
returns to practical situations is required. Management • Developing
• Ability to understand and resolve client inquiries and • Innovation & Problem Partnerships
effectively collaborating with the internal teams. Regularly solving
interacting with clients, investment manager is required. • Change Management
• Ability to evaluate and review products and process, • Interpersonal skills
provides recommendations for improvements. • Timely escalations
• Ability to develop and handle creative solutions to satisfy • Decision making skills
non-standard client requests and handle processing of most • Basics of project
complex clients and client conversion projects. management
• Ability to read, analyze and interpret general business
periodicals, professional journals and technical procedures.
Ability to write reports, business correspondence and
procedure manuals.

Global Risks Solutions(Lead Analyst)- Grade I (IC track)
Role Summary: Responsible to provide Subject Matter Support to client and investment managers through timely and accurate delivery
of rates of returns. S/He will be responsible for developing creative solutions to satisfy non-standard client requests. S/He will be
responsible for actively participating / representing in Global projects or India Driven Projects. S/He evaluates and reviews products and
process, provides recommendations for improvements, and work with senior management and IT to implement. S/He will manage the
most sensitive and complex relationships and frequently interacts with senior client management, investment managers and consultants.
Competencies
Technical/ Functional Professional
Leadership Systems
• Strong Knowledge of Capital Market • Strong verbal and • Ensures • Proficiency in
• A comprehensive knowledge of performance measurement, attribution, written communication Accountability - MS Office
reporting, analytics and the securities industry. skills Takes (outlook &
• Ability to work with mathematical concepts. Ability to apply concepts • Email and Telephone ownership of the excel in
such as factions, percentages, ratios and proportions, Dietz and Etiquettes clients/ projects particular)
Modified Dietz method of calculating returns to practical situations is • Analysis skills • Drives Results
required. • Prioritization – Time • Developing
• Ability to understand and resolve client inquiries and effectively Management Partnerships
collaborating with the internal teams. Regularly interacting with clients, • Innovation & Problem
investment manager is required. solving
• Ability to evaluate and review products and process, provides • Change Management
recommendations for improvements. Identify knowledge gaps within the • Interpersonal skills
process and provide trainings to bridge the gaps and track the • Timely escalations
effectiveness of the trainings. • Decision making skills
• Ability to develop and handle creative solutions to satisfy non-standard • Basics of project
client requests and handle processing of most complex clients and management
client conversion projects. • Ability to lead the
• Ability to review occurrence trend analysis with focus on identifying how client calls
to maintain / improve quality results and/or productivity levels
• Ability to read, analyze and interpret general business periodicals,
professional journals and technical procedures. Ability to write reports,
business correspondence and procedure manuals.

Global Risks Solutions(Manager)- Grade J (PM track)
Role Summary: Responsible for the day to day running assigned team in GRS- Performance. Sets quality control expectations for the
team and manages process work identifying resource requirements, milestones and prioritization of tasks. Accountable to Operations
Manager Performance for completing management control reports to ensure consistent service delivery and meet/exceed service
standards. Responsible for managing resource staffing and coaching of employees for a team of Performance Analysts Responsible for
best practice design and execution of deliverables while continually evaluating opportunities for process improvement. Provides subject
matter expertise to clients and internal parties to ensure quality delivery of services. Work with employees on career and skills
development. Understand corporate policies and procedures and implement and manage certain Hr functions for team
Competencies
• Strong Knowledge of Capital Market and Performance products • Strong verbal and written • People • Proficiency in MS
• Must have 4-5 years’ experience as a people manager and has a strong communication skills management skill. Office (outlook &
understanding of performance measurement, attribution, universes and accounting • Email and Telephone • Work allocation, excel in particular)
concepts in order to set quality control expectations for the team and manage Etiquettes • Leave planning,
process work identifying resource requirements, milestones and prioritization of • Analysis skills • backup planning,
tasks. Responsible for managing resource staffing and coaching of employees for a • Prioritization – Time • conflicts
team of Performance Analysts Management management &
• Ability to prepare and conduct performance evaluations for staff as well as conduct • Innovation & Problem solving capacity planning
ongoing feedback sessions and build performance management action plans when • Change Management etc.
necessary. Work with employees on career and skills development. • Interpersonal skills • Ensures
• Risk management orientation (ability to understand, assess and minimize risk • Ability to effectively build Accountability –
associated with all transactions). Understand and offer solutions for ongoing cooperative relationships with • Takes ownership of
operational continuity people, manage differences the clients/ projects
• Ability to provide subject matter expertise to GRS clients (CGNP & GFI) and internal and resolve conflicts ( Partner in Multi
parties such as GRS Investment Consulting Group, GRS Product Management, • Strong judgment and site projects / lead )
CARS, GRS Analytics and Product Services, GRS Technology team and Office of leadership skills • Drives Results
Data Management team to ensure quality delivery of services. Participate in • Strong presentation, • Developing
departmental projects and ensures delivery of the tasks as per the project schedules articulation and facilitation skill Partnerships
for ex: client conversions, new clients on boarding and special client projects. required • Interviewing and
• Ability to review occurrence trend analysis with focus on identifying how to maintain / • Ability to lead the client calls hiring experience
improve quality results and/or productivity levels • Timely escalations
• Ability to identify the training gaps within the team and facilitates the training needs • Decision making skills
of the team with help of the existing training structure. • Basics of project management
• Understand the external client requirement and offer solutions for ongoing
operational continuity

Global Risks Solutions (Lead Manager)- Grade K (PM track)
Experience 5 + Years of people management.
Role Summary: Manages a team of staff assigned to monitor and report on client portfolio performance and maintain trade platform
utilized by clients. Provides management for staff involved in monitoring client portfolios. Serves as a resource on products offered to
clients .Manages improvements in data collection and reporting platforms. Serves as an escalation point for exceptional issues, keeping
leadership apprised of potential areas of concern. Responsible for ensuring training programs address department findings and
organizational needs. Ensures staff development in area of expertise.
Recruits, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to
Responsible for achievement of team goals. Ensures team is equipped to operate and achieve team objectives. Manages financial
resources of the team (budgets, expenses, etc.)
Competencies
• Good Functional knowledge with exposure of leading • Good at Team management • Takes initiative. • Should be able
global projects • Good at decision making • Mentors team to understand
• Excellent Communication Skill. members. the tools used
• Develops and manages project • Effects change by the team.
budgets, schedules, and timelines and monitors • PowerPoint,
• Employs strong organizational skills progress. Msword, Excel.
• Understands and integrates • Understands
appropriate project management the domain the
tools and processes team is
operating in.

Global Risks Solutions(Business Analyst)- Grade H (IC track)
Bachelor's degree in business management or a related discipline, or equivalent work experience required; advanced
Qualification
degree preferred.
4-6 years of experience in a business analyst environment required; experience in the securities or financial services
Experience
industry is a plus.
Role Summary: They provide management support in additional to processing the bridges and product support. They take care of
scheduling the code reds and providing the details to the BA and other stakeholders in code red calls.
The predominant management effort involves holiday planning, taking care of the allocation of bridges to the associates, product support
tickets to associates, onboarding new associates and create the training plan.
Competencies
• Should be able to understand the requirements and BVA • Strong verbal and written • NA • Writing BVA
• Should be able to perform UAT communication skills (Core)
• Should lead the project calls. • Email and Telephone Etiquettes • Analytics
• If primary BA then Should be provide update for the • Analysis Skills (Core)
secondary BA tasks. • Prioritization – Time Management • Index (Core)
• Send daily status with RAG and path to green to be • Innovation & Problem solving Performance(N
communicated to all stake holders • Change management on Core)

Global Risks Solutions(Lead Business Analyst)- Grade I (IC track)
Bachelor's degree in business management or a related discipline, or equivalent work experience required; advanced
Qualification
degree preferred.
Experience
industry is a plus.
Role Summary: They provide management support in additional to processing the bridges and product support. They take care of
scheduling the code reds and providing the details to the BA and other stakeholders in code red calls.
The predominant management effort involves holiday planning, taking care of the allocation of bridges to the associates, product support
tickets to associates, onboarding new associates and create the training plan.
Competencies
• Should be able to understand the requirements and • Strong verbal and written • NA • Writing BVA (Core)
BVA. communication skills • Analystics (Core)
• Should be able to handle large global projects. • Email and Telephone Etiquettes • Compliance (Core)
• Should be able to perform UAT. • Analysis Skills • Index (Non Core)
• Should lead the project calls. • Prioritization – Time Management • Performance(Non
• If primary BA then Should be provide update for the • Innovation & Problem solving Core)
secondary BA tasks. • Change management
• Send daily status with RAG and path to green to be • Interpersonal Skills
communicated to all stake holders. • Timely escalations

Global Risks Solutions(Senior Representative, Business Technology Liaison)- Grade G (IC
track)
Qualification Bachelor's degree in business management or a related discipline, or equivalent work experience required.
Experience
industry is a plus.
Role Summary: They perform all the tasks performed by Inter Rep but on complex bridges. In additional to that they train and guide the
inter rep. They take part in the code red and provide the necessary details to senior analyst and the leads.
Competencies
• Uses documented processes and performs QC of the • Good verbal and written • NA • Should be able use
data received through bridges. communication skills QMF, Spectra,
• Uses documented processes and guidelines to test • Email and Telephone Etiquettes Execute query and
applications and/or systems of higher complexity. • Analysis Skills create simple Queries.
• Should be able to handle prod support tickets and • Problem solving • Should be able to
involve BA for necessary solutioning. • Change management understand the
• Should participate and lead the code reds • Interpersonal Skills complex queries
• Should be able to follow the SOP and also provide input • Timely escalations written by Bas.
to BA and Sr. resource if any issue is found in
procedures.

Global Risks Solutions(Senior Analyst, Business Technology Liaison)- Grade H (IC track)
Experience
industry is a plus.
Role Summary: Sr. Analyst would be responsible for converting any compliance mandates into rules, creating & monitoring compliance
reports. He should have good understanding on financial terms, master in understanding client’s mandates and walk through coding to
clients/consultants. He should be responsible for classifying accounts based on set of rules & perform monthly checks. Need to liaise
with other teams to assist with daily production issues. Analyze daily reports for any valid/invalid exceptions. Analyst will also be
responsible for custom analytics report generation.
Competencies
• Uses documented processes and performs QC of the • Good verbal and written • NA • Should be able use
data received through bridges. communication skills QMF, Spectra,
• Uses documented processes and guidelines to test • Email and Telephone Etiquettes Execute query and
applications and/or systems of higher complexity. • Analysis Skills create simple Queries.
• Should be able to handle prod support tickets and • Problem solving • Should be able to
involve BA for necessary solutioning • Change management understand the
• Should participate and lead the code reds • Interpersonal Skills complex queries
• Should guide the junior resources. • Timely escalations written by BAs
• Should review the SOPs and provide suggestion.

Global Risks Solutions(Lead Manager, Project/Program Management)- Grade K (PM track)
6 + years of related project management experience required; experience with technology and/or the financial services
Experience
industry is a plus.
Role Summary: Responsible for managing and tracking the APS / GRS sponsored projects. Should take accountability for timeliness,
accuracy and quality of Project based on Stakeholder deadlines and need to do Project management mainly Agile projects
Competencies
• Manages a small to medium-sized team of project • Good at Team management • Takes • Should be able to
managers who are the primary contact for clients and • Good at decision making initiative. understand the tools
groups within the organization for small scale projects. • Excellent Communication Skill. • Mentors team used by the team.
Team is responsible for end to end project management • Develops and manages project members. • PowerPoint, Msword,
activities such as project reporting, project planning, budgets, schedules, and • Effects Excel.
issue / risk identification and tracking, scope timelines change and • Understands the
management, estimation, client management, • Employs strong organizational monitors domain the team is
relationship management and other project skills progress. operating in.
documentation preparation. • Understands and integrates
appropriate project management
tools and processes

Global Risks Solutions(Developer)- Grade G (IC track)
Qualification Masters Degree or Equivalent , BE,MSC,MCA is preferred.
0-5 years of total work experience preferred; experience in informatica Extraction, Transformation and Loading of
Experience
data from different heterogeneous source systems like Flat files, Oracle and SQL Server.
Role Summary: Responsible for developing automated solutions for all product lines within GRS
Competencies
• Relevant experience in Informatica. • Strong verbal and written • Ensures • Collaborative Meeting
• A strong understanding of SDLC. communication skills Accountability Participation
• Experience in Informatica, Power center, Designer and • Email and Telephone Etiquettes • Takes • Experience in Version
transformations, Workflow Manager, Work Flow Monitor. • Analysis Skills ownership of Control Tools.
• Experience in string functions. • Prioritization – Time the project • Problem
• Experience in Client Servicing- Inquiry management. Management • Drives Decomposition
• Experience of using Microsoft Office products. • Innovation & Problem solving Results • Communication
• Experience working with large and complex databases • Change management • Handling Database
and an ability to understand how they function/ interact. • Interpersonal Skills Tools
• Excellent written and oral English communication skills. • Timely escalations. • Strong interpersonal
• Strong presentation, articulation and facilitation skill skills and good
required. judgment with an
• Finance related experience will add value.. approachable
communication.
• Ability to work in a
fast-paced
environment and
consistently meet
internal and external
deadlines.

Global Risks Solutions(Senior Developer)- Grade H (IC track)
Experience 5-7 years of total work experience preferred; experience in Microsoft technologies/Angular JS, .NET 4.0 & above.
Role Summary: Responsible for developing automated solutions for all product lines within GRS. Take care of the training needs of the
Developers and guide them in day to day development activities
Competencies
• Relevant experience in Informatica. • Analyzes, defines and prioritizes business • Ensures • Collaborative Meeting
• A strong understanding of SDLC. requirements and functional or operational Accountability Participation
• Experience in Informatica, Power center, specifications for moderate to large - No direct • Agile Methodology
Designer and transformations, Workflow projects of increasing complexity. Provides reports, • OOPS Concepts
Manager, Work Flow Monitor. consultation to IT and business provides • Systems Programming
• Experience in string functions. management for the application of guidance to • Experience in Version
• Experience in Client Servicing- Inquiry technology to support business less Control Tools.
management. opportunities and planning, implementation experienced • Problem
• Experience of using Microsoft Office products. of cross-functional applications or systems. colleagues. Decomposition
• Experience working with large and complex May allocate/coordinate work within a Leads • Communication
databases and an ability to understand how team/project. projects and • Error Handling
they function/ interact. • Elicits, challenges, and prioritizes business allocates • Handling Database
• Excellent written and oral English requirements; translates into functional work Tools
communication skills. design and use case documents. Develops accordingly. • knowledge of
• Strong presentation, articulation and project scope, objectives, constraints and upcoming
facilitation skill required. assumptions. Plans and formulates aspects technologies
• Finance related experience will add value.. of development proposals including the
objective or purpose of projects, existing
applications that can be utilized, costs of
project, and equipment and human
resource requirements.

Global Risks Solutions(Lead Developer)- Grade I (IC track)
Experience 7-10 years of total work experience preferred; experience in Microsoft technologies/Angular JS, .net 4.0 & above.
Role Summary: Responsible for project activities such as requirement analysis, database design and develop applications/tools as part
of EUREKA program.
Competencies
• Relevant experience in .Net technologies • Consults with stakeholders to analyze, define, and • Ensures • Collaborative Meeting
and open source technologies like prioritize business requirements and functional and Accountability Participation
Angular JS. operational specifications for a functional work - No direct • Agile Methodology
• A strong understanding of different stream. Formulates and defines program scope and reports, • OOPS Concepts
software methodologies like AGILE and objectives for the work stream with thorough provides • Systems Programming
Waterfall. understanding of business processes in a specific guidance to • Experience in Version
• Strong understanding of SDLC business domain. May lead staff on specific less Control Tools.
• Experience in .NET technologies 4.5, c#, projects. experienced • Problem Decomposition
Sql Server 2008 & Above, DB2, WCF, colleagues. • Communication
Web Services, WEB API, Angular JS, • Elicits, challenges, and prioritizes business Leads projects • Error Handling
JQuery, JSON, JavaScript and Bootstrap. requirements; translates into functional design and and allocates • Handling Database
• Experience in Client Servicing- Inquiry use case models. Develops project scope, work Tools
management. objectives, constraints and assumptions for large accordingly. • knowledge of upcoming
• Experience in bug tracker systems like programs. Prepares and manages the project plan, technologies
JIRA. issues and risks, and is accountable for overall
• Experience of using Microsoft Office delivery of assigned functional work stream on a
products, in particular manipulating Excel large-scale program. Aligns resources, seeks input
spreadsheets. Utilizing advanced from key constituents, and manages others to
functions would be desirable. achieve desired results.
• Experience working with large and
complex databases and an ability to • Provides guidance on development of the functional
understand how they function/ interact. requirements and user documentation. Assists in
• Excellent written and oral English developing implementation/conversion strategy and
communication skills. implementation plan. Manages scope and change
throughout the initiative utilizing formal change
control and requirements traceability.

Global Risks Solutions(Manager, Appl. Development)- Grade J (PM track)
Experience 10-12 years of total work experience preferred; experience in Microsoft technologies/Angular JS, .NET 4.0 & above.
Role Summary: Responsible for managing and tracking the APS / GRS sponsored projects. Should take accountability for timeliness,
accuracy and quality of Project based on Stakeholder deadlines and need to do Project management mainly agile projects,
vendor/stakeholder management. The management activities includes project reporting, project planning, issue / risk identification and
tracking, scope management, estimation, client management, relationship management and other project documentation preparation
Competencies
• Relevant experience in .Net technologies and open source technologies • Consults with stakeholders to • Ensures Accountability • Collaborative Meeting
like Angular JS. analyze, define, and prioritize - provides guidance to Participation
• A strong understanding of different software methodologies like AGILE business requirements and less experienced • Agile Methodology
and Waterfall. functional and operational colleagues. Leads • OOPS Concepts
• Strong understanding of SDLC specifications for a functional work projects and allocates • Systems Programming
• Experience in .NET technologies 4.5, c#, Sql Server 2008 & Above, stream. Formulates and defines work accordingly. • Experience in Version
DB2, WCF, Web Services, WEB API, Angular JS, JQuery, JSON, program scope and objectives for Control Tools.
JavaScript and Bootstrap. the work stream with thorough • Accountable for the • Problem
• Experience in Client Servicing- Inquiry management. understanding of business timeliness, accuracy Decomposition
• Experience in bug tracker systems like JIRA. processes in a specific business and quality of • Communication
• Experience of using Microsoft Office products, in particular manipulating domain. May lead staff on specific response/ set up • Error Handling
Excel spreadsheets. Utilizing advanced functions would be desirable. projects. based on client • Handling Database
• Experience working with large and complex databases and an ability to specific deadlines. Tools
understand how they function/ interact. • Elicits, challenges, and prioritizes • knowledge of
• Able to participate in sprint calls and provide ideas to split up the tasks business requirements; translates • Work closely with upcoming technologies
for the appropriate sprints. into functional design and use case internal teams,
• Proficient in using CVS and SVN features. Knows how to branch and models. Develops project scope, external suppliers and
merge, use patches setup repository properties etc. objectives, constraints and other parties to provide
• Able to come up with reusable functions/objects that solve the overall assumptions for large programs. a continuous high level
problem. Prepares and manages the project of client service, with
• Able to break up problem space and design solution as long as it is plan, issues and risks, and is pro-active client
within the same platform/technology. accountable for overall delivery of dealings and prompt
• Code organization at a physical level closely matches design and assigned functional work stream on turnaround and
looking at file names and folder distribution provides insights into a large-scale program. Aligns tracking of queries and
design. resources, seeks input from key resolution of issues.
• Ensures that error/exceptions leave program in good state, resources, constituents, and manages others to
connections and memory is all cleaned up properly. achieve desired results.
• Promote a positive and professional work environment.

HedgeMark

Click here for
Business Overview Learning Pathway
HedgeMark, founded in 2009, specializes in supporting institutional investors seeking increased

customization, transparency, control and governance around their hedge fund investments. HedgeMark’s managed
account expertise, technology and middle office support empower clients to implement and operate their own private
hedge fund dedicated managed account platform with fewer resources. HedgeMark is headquartered in New York and
has its Offshore locations in Chennai & Pune, India and in Poland. The HedgeMark platform supports a broad range of
institutional investors and fund managers, including pensions, endowments, foundations, family offices, sovereign
wealth funds and funds of hedge funds.
Hedge Fund – Risk Reporting
• The HedgeMark’s Risk reporting team is primarily responsible for providing the summary level risk report to the clients and for
performing Dedicated Managed Account related operations. The risk reporting is done on both daily and monthly frequencies.
The team uses proprietary application to complete the various steps in the risk process. The user receives the position level
details from Fund Administrators and Hedge Fund Managers.
• The team does data enrichment by appending Security or Holding level attributes that are needed for risk analysis. The
required modelling attributes are also updated and sent to third-party risk engine for batch processing. The team also verifies
the risk results for any errors or deviations after the batch processing. After this process is complete, the analyst reviews the
data and sends confirmation if there are no errors. Finally, the user marks the fund as complete for risk reporting to end
clients.
Hedge Fund – Holding Reconciliation
• The Reconciliation team is a part of broader DMA servicing team that supports operations and accounting functions for a wide
range of hedge fund strategies. The activities include Operational Oversight & Support, Accounting Review and Support,
Coordination with service providers and Investment Guideline Monitoring. The team reconciles the data at security level
between Administrator and Counterparty and approves the daily margin limits along with NAV.
Business Analysts
• The team of business analysts is responsible for end to end upscaling of all the HedgeMark applications. They are involved in
creating requirements for technology and drives product build out for all the internal applications. Team works with all
stakeholders to understand user pain points and drive strategic product direction

HedgeMark Career Matrix
Lead Manager
Lead Manager – (K) - PM
Business Analysis
(K) - PM
Manager (J) - PM
Manager –
Business Analysis
(J) - PM
Lead Manager
Lead Analyst
(K) - PM
Lead Business (I) - IC
Analyst
Specialist Manager (I) - IC
(J) - PM Senior Analyst (H)
Job Complexity
(J) - IC
- IC
Senior Business
Lead Analyst
Analyst (H) - IC
(I) - IC
Analyst (G) - IC
Senior Analyst Business Analyst

(H) - IC (G) - IC
Hedge Fund – Risk

Senior Business Analyst –
Trainee Reporting
Representative (G)
- IC (G) - IC
Intermediate
Representative (F) Business Analyst
- IC
Legend
Process/ Product Complexity IC – Individual Contributor; PM - Management

Navigation
Functional

Cross


HedgeMark Job Codes
70513 Intermediate Representative, Fund/Client Accounting Individual Contributor

70512 Senior Representative, Fund/Client Accounting Individual Contributor
70509 Senior Analyst, Fund/Client Accounting Individual Contributor
70507 Specialist, Fund/Client Accounting Individual Contributor
70128 Analyst,DataMgmtQuantAnalysis Individual Contributor
70127 SrAnalyst,DataMgtQuantAnalysis Individual Contributor
70126 LdAnalyst,DataMgmtQntAnalysis Individual Contributor
70654 Mgr, DataMgmtQuantAnalysis Management
70123 Ld Mgr, DataMgmtQuantAnalysis Management
70122 GrpMgr, DataMgmtQuantAnalysis Management
60449 Business Analyst-Trainee Individual Contributor
60053 Business Analyst Individual Contributor
60082 Senior Business Analyst Individual Contributor
60112 Lead Business Analyst Individual Contributor
60244 Mgr,Business Analysis Management
60273 Lead Mgr,Business Analysis Management

Growth Matrix :
Senior Analyst
Senior Business
Representative (H)
Analyst -
(G) Hedge Fund Trainee Hedge Fund –
– Holding Risk Reporting
(G)
Reconciliation
Intermediate
Rep (F) Analyst (G)
Business
Hedge Fund – Hedge Fund – Analyst
Holding Risk (G)
Reconciliation Reporting

HedgeMark – Cross Functional Career Matrix

Instructions
Processes under HedgeMark

CT & CT Analytics - DLM/QSR CT & CT Analytics - Cash GRS -BPS Team
AIS - Recon EMEA TA – Reconciliation GIA - Business Technology Liaison -
GIA & Global
further details
T&PM – Business Analyst Click on “HedgeMark” in cross-
Hedge Fund - Holding Business back to this page
Reconciliation Analyst

Services
Hedge Fund -
Risk Reporting
DSD - OTC Pricing/Data

Management/Quant Analysis
Financial Reporting -Financial

Reporting

Hedge Fund - Risk Reporting
HedgeMark
Hedge Fund – Risk Reporting

Hedge Fund - Risk Reporting - Grade G (IC track) Back to Career Matrix
Qualification Any Bachelor’s degree (BBA/Commerce/Engineering preferred) and Post Graduate in Business (Finance)
Experience 0-2 years of total work experience preferred; experience in related finance fields preferred.
Role Summary
Responsible for the risk analysis of a smaller number of more standard hedge funds. Responsible for analyzing the quality of
the output- which includes quantitative review of valuation, notional, VaR, Option-Greeks, isolated risk factor shocks and
stress testing for the full spectrum of security types across more standard asset classes, including equities, bonds and listed
derivatives
Competencies
• Good knowledge in Value at Risk, • Strong verbal and written • No direct reports • Proficiency in MS Office
Scenario Analysis, Stress Testing, communication skills (excel in particular)
Correlations • Email and Telephone • Exposure to Research
• Basic knowledge on various financial Etiquettes Databases (such as
Asset types(Bonds, Futures/Swaps, • Analysis Skills Bloomberg)
Options, Equity, etc.,) to process risk • Prioritization – Time
on simple Hedge funds. Management
• Good Interpersonal skills
• Attitude and skills for a good
Team player

Hedge Fund - Risk Reporting - Grade H (IC Track) Back to Career Matrix
Experience 2-3 years of total work experience preferred; experience in related finance fields preferred.
Role Summary
Responsible for processing and overseeing the risk analysis across a large number of complex monthly and daily hedge
funds. Responsible for analyzing the quality of the output- which includes quantitative review of valuation, notional, VaR,
Option-Greeks, isolated risk factor shocks and stress testing for the full spectrum of security types across asset classes.
Should work closely with Risk Engine team to troubleshoot risk modeling issues and act as one of the primary individuals
responsible for enhancing existing models and testing/integrating new pricing/risk models into the firm’s risk engine. Perform
ad-hoc research projects on current risk models and generated output.
Competencies
• Process and oversee Risk analysis for • Strong verbal and written • Provide guidance to • Proficiency in MS
complex hedge funds, communication skills less experienced Office (excel in
• Knowledge/Expertise to analyze quality • Email and Telephone Etiquettes team members and particular)
of output - including quantitative review • Analysis Skills new joiners. • Exposure to
of valuation of several asset • Prioritization – Time Management • Act as a mentor. Research Databases
types(Options, Caps, Floors Bonds, • Good Interpersonal skills Coordinating with (such as Bloomberg)
IRS, Swaptions, FX Options, etc.,), • Attitude and skills for a good Team Internal teams(IT,
• Raise the queries to Risk Engine team player Loader, etc.,), Risk
for erroneous results after testing, • Mentor new joiners and act as engine, Bloomberg,
Onboard new funds and co-ordinate single point of contact for any Admin/Hedge Fund
with Administrators/Hedge Funds to set technical help for the Analysts
position feeds or for data related
queries

Hedge Fund - Risk Reporting - Grade I (IC track) Back to Career Matrix
Experience 3+ years of total work experience preferred; experience in related finance fields preferred.
Role Summary
Responsible for processing and overseeing the risk analysis across a large number of complex monthly and daily hedge
funds. Responsible for analyzing the quality of the output- which includes quantitative review of valuation, notional, VaR,
Option-Greeks, isolated risk factor shocks and stress testing for the full spectrum of security types across asset classes. Work
closely with Risk Engine team to troubleshoot risk modeling issues and act as one of the primary individuals responsible for
enhancing existing models and testing/integrating new pricing/risk models into the firm’s risk engine. Perform ad-hoc research
projects on current risk models and generated output. Oversee the hedge fund onboarding process of new funds to establish
a strong modeling and operational process. Coordinate with administrators and Hedge Funds to set up all Hedge Fund
position data feeds.
Competencies
• Oversee Risk analysis for complex hedge funds, • Strong verbal and written • Provide guidance to less • Proficiency in MS
• Knowledge/Expertise to analyze quality of output - communication skills experienced team members Office (excel in
including quantitative review of valuation of • Email and Telephone and new joiners. particular)
several asset types(Options, Caps, Floors Bonds, Etiquettes • Manage a small team around • Exposure to
IRS, Swaptions, FX Options, etc.,), • Analysis Skills 5 members(Analyst/Senior Research Databases
• Raise the queries to Risk Engine team for • Prioritization – Time Analysts) (such as Bloomberg)
erroneous results after testing and troubleshoot Management • People management skills -
risk modeling issues and work for enhancing • Good Interpersonal skills Backup planning, conflicts
existing models and testing/integrating new • Attitude and skills for a management, Mentoring, etc.
pricing/risk models into the firm’s risk engine, good Team player • Ensures Accountability -
Perform ad hoc research projects on current risk Takes ownership of the funds
models and generated output, • Drives Results
• Onboard new funds and co-ordinate with • Builds Effective Teams
Administrators/Hedge Funds to set position feeds
or for data related queries

Hedge Fund - Risk Reporting - Grade J (PM track) Back to Career Matrix
Role Summary
Responsible for both overseeing the risk analysis on complex daily and monthly hedge funds as well as for managing a
smaller team of risk analysts. Responsible for training and employee development and the overall risk processing and quality
control of staff being managed. Responsible for processing more complex hedge fund portfolios for performance and risk
analysis. Coordinate with administrators and Hedge Funds to set up all Hedge Fund position data feeds. Should be focused
on improving the productivity and increasing efficiency. Should play a pivotal role in recovery planning and execution ensuring
business continuity.
Competencies
• Responsible for producing completed risk • Strong verbal and • Provide guidance to all team • Proficiency in MS
analysis across a range of monthly and written members. Office (excel in
daily hedge funds, communication • People management skills - Work particular)
• Knowledge/Expertise to analyze quality of skills allocation, Leave planning, • Exposure to
output - including quantitative review of • Email and backup planning, conflicts Research Databases
valuation of several asset types(Options, Telephone management & capacity (such as Bloomberg)
Caps, Floors Bonds, IRS, Swaptions, FX Etiquettes planning, Performance
Options, etc.,), • Analysis Skills Management, etc.
• Work with Loader team and Technology • Prioritization – • Ensures Accountability - Takes
team on improvements, prioritize and co- Time Management ownership of the funds
ordinate, Allocate and manage onboard, • Good • Conducts one on one meetings,
Cross Review funds, Interpersonal skills Oversee huddles, motivate, stay
• 100% Audit readiness to be maintained by • Attitude and skills approachable and help with
simulating Audit Checklists in conjunction for a good Team troubleshooting issues and
with control team, Achieve SLA/KPI's, player suggest solutions for effective
Conduct PKT tests for grades G&H work management,

Hedge Fund - Risk Reporting - Grade K (PM track) Back to Career Matrix
Role Summary
Responsible for training and employee development, planning, monitoring of risk processing and creation/overseeing quality
control effort. Act as primary escalation point for risk processing issues across spectrum of security types, pricing models and
risk statistics for entire team. Provide all business specifications and manage project plan. Work closely with New York Senior
management to allocate work across team members. Serve as a point of contact for the client onboarding process and subject
matter expertise for the modeling of clients hedge funds. Responsible for hiring, firing and other management tasks.
Competencies
• Delivery ownership • Strong verbal • Provide guidance to all team • Proficiency in
• Knowledge/Expertise to analyze quality of output - and written members. MS Office (excel
including quantitative review of valuation of several communication • People management skills - in particular)
asset types(Options, Caps, Floors Bonds, IRS, skills Work allocation, Leave planning, • Exposure to
Swaptions, FX Options, etc.,), • Email and backup planning, conflicts Research
• Prioritize and co-ordinate for Issues and Process Telephone management & capacity Databases
Improvements, Allocate and manage work across Etiquettes planning, Performance (such as
teams, BCP Planning & Testing, Keep the teams • Analysis Skills Management, etc. Bloomberg)
updated on Management decisions that are shared • Prioritization – • Conducts one on one meetings,
and to be cascaded, Time Oversee huddles, motivate, stay
• Using Risk Management Platform (RMP) for Management approachable and help with
effectively flagging emerging risks, • Good troubleshooting issues and
• Optimize costs, Interpersonal suggest solutions for effective
• Contribute to global process architecture initiative in skills work management,
prioritized functional areas, • Attitude and • Act as a single point of contact
• Identify the areas for in-house automations , skills for a good for NY for all the funds handled
• Identify internal metrics which impact Client Ratings Team player within the team
and ensure 100% delivery on committed targets

HedgeMark
Hedge Fund - Holding Reconciliation

Hedge Fund-Holding Reconciliation - Grade F (IC track) Back to Career Matrix
Qualification Master’s degree in Business or the equivalent combination of education is required.
Experience 0-2 years of total work experience preferred; experience in accounting preferred.
Role Summary
Responsible for cash and asset reconciliations on the assigned funds by working with Administrator and Counterparty data.
Should be having working knowledge on P&L calculations for various instrument types. Should be able to perform valuation in
Bloomberg to confirm the pricing of assets.
Competencies
• Under supervision, performs more routine • Strong verbal and written • No direct reports. • Proficiency in MS
Fund/Client Accounting responsibilities in the areas communication skills Office (excel in
of driving Service Improvement plans, targeting • Email and Telephone particular)
efficiencies, enhancing processes and specialist Etiquettes • Exposure to
review functions. • Analysis Skills Exposure to
• Responsible for cash and asset reconciliations • Prioritization – Time Research Databases
related to assigned funds. Performs reconciliation of Management (such as Bloomberg
account expenses and ensures they are allocated • Innovation & Problem or IDC)
appropriately. Escalates complex transactions to solving
senior team members. • Change management
• Prepares first draft reports for clients regarding the • Interpersonal Skills
performance of the fund. • Timely escalations
• May assist in answering questions from clients
regarding fund reports and accounting processes.

Hedge Fund-Holding Reconciliation - Grade G (IC track) Back to Career Matrix
Experience 1-3 years of total work experience preferred; experience in accounting preferred.
Role Summary
Bloomberg to confirm the pricing of assets. Should be able to handle client queries with good written and oral communication.
Accounting knowledge is required to reconcile market value at position level to the total fund.
Competencies
• Under supervision, performs more routine • Strong verbal and written • No direct reports. May • Proficiency in MS Office
Fund/Client Accounting responsibilities in the communication skills have people (excel in particular)
areas of driving Service Improvement plans, • Email and Telephone management • Exposure to Exposure
targeting efficiencies, enhancing processes Etiquettes responsibilities in to Research Databases
and specialist review functions. • Analysis Skills some geographies. (such as Bloomberg or
• Responsible for cash and asset • Prioritization – Time IDC)
reconciliations related to assigned funds. Management
Performs reconciliation of account expenses • Innovation & Problem
and ensures they are allocated appropriately. solving
Escalates complex transactions to senior • Change management
team members. • Interpersonal Skills
• Prepares first draft reports for clients • Timely escalations
regarding the performance of the fund.
• May assist in answering questions from
clients regarding fund reports and accounting
processes.

Hedge Fund-Holding Reconciliation - Grade H (IC track) Back to Career Matrix
Role Summary
Bloomberg to confirm the pricing of assets. Should be able to handle client queries with good written and oral communication.
Conducts accounting services on behalf of assigned clients and moderately complex funds including determining net asset
values, calculating fund performance, allocating expenses and preparing reports.
Competencies
• Performs Fund/Client Accounting • Strong verbal and written • No direct reports but • Proficiency in MS Office
responsibilities in the areas of driving Service communication skills may provide guidance (excel in particular)
Improvement plans, targeting efficiencies, • Email and Telephone to less experienced • Exposure to Exposure to
enhancing processes and specialist review Etiquettes team members. May Research Databases
functions. Checks the work of more junior team • Analysis Skills have people (such as Bloomberg or
members. • Prioritization – Time management IDC)
• Responsible for cash and asset reconciliations Management responsibilities in
related to more intricate accounts or • Innovation & Problem solving some geographies.
transactions within assigned funds. Performs • Change management
reconciliation of account expenses for more • Interpersonal Skills
complex transactions and ensures they are • Timely escalations
allocated appropriately.
• Drafts reports for clients regarding the
performance of funds. May reviews first draft
reports completed by more junior staff.
• Client Interaction regarding fund reports and
accounting processes

Hedge Fund-Holding Reconciliation - Grade I (IC track) Back to Career Matrix
Role Summary
Bloomberg to confirm the pricing of assets. Responsible for suggesting improvements in the proprietary application used for
reconciliation. Should be able to handle client queries with good written and oral communication. Conducts accounting
services on behalf of assigned clients and moderately complex funds including determining net asset values, calculating fund
performance, allocating expenses and preparing reports.
Competencies
• Performs complex Fund/Client Accounting • Strong verbal and • No direct reports; • Proficiency in MS
responsibilities in the areas of driving Service written communication provides guidance to Office (excel in
Improvement plans, targeting efficiencies, skills less experienced team particular)
enhancing processes and specialist review • Email and Telephone members. May have • Exposure to
functions. Provides input into methodologies and Etiquettes people management Exposure to
checks the work of more junior team members. • Analysis Skills responsibilities in some Research Databases
• Provides guidance and reviews work related to • Prioritization – Time geographies. (such as Bloomberg
cash and asset reconciliations relating to Management or IDC)
complex accounts or transactions. Resolves • Innovation & Problem
reconciliation of accounts for more complex or solving
atypical transactions and reviews work of junior • Change management
team members. • Interpersonal Skills
• Assists in evaluating GAAP and/or IFRS rules to • Timely escalations
determine impact of new regulations on BNY
Mellon fund accounting practices.

Hedge Fund-Holding Reconciliation - Grade J (IC track) Back to Career Matrix
Role Summary
Bloomberg to confirm the pricing of assets. Responsible for suggesting improvements in the proprietary application used for
reconciliation. Should be able to handle client queries with good written and oral communication. Conducts accounting
services on behalf of assigned clients and moderately complex funds including determining net asset values, calculating fund
performance, allocating expenses and preparing reports. May lead work of junior team members for assigned client or fund.
Competencies
• Conducts accounting services on behalf of • Strong verbal and • No direct reports; • Proficiency in MS Office
assigned clients and complex funds written communication provides guidance to (excel in particular)
including determining net asset values, skills less experienced team • Exposure to Exposure
calculating fund performance, allocating • Email and Telephone members. May be to Research Databases
expenses and preparing reports. Etiquettes tasked with Team Lead (such as Bloomberg or
• Performs highly complex Fund/Client • Analysis Skills responsibilities. May IDC)
Accounting responsibilities in the areas of • Prioritization – Time have people
driving Service Improvement plans, Management management
targeting efficiencies, and specialist review • Innovation & Problem responsibilities in some
functions. Provides input into methodologies solving geographies.
and checks complex work done by more • Change management
junior team members. • Interpersonal Skills
• Evaluates GAAP and/or IFRS rules to • Timely escalations
determine impact of new regulations on
BNY Mellon fund accounting practices.

Hedge Fund-Holding Reconciliation - Grade J (PM track) Back to Career Matrix
5-7 years of total work experience and at least 2-3 years in management preferred; Big 4 accounting firm experience
Experience
preferred.
Role Summary
Responsible for training and employee development, planning, monitoring of processing and creation/overseeing quality
control effort. Act as primary escalation point for accounting issues across spectrum. Provide all business specifications and
manage project plan. Work closely with New York Senior management to allocate work across team members. Serve as a
point of contact for the client onboarding process and subject matter expertise in the accounting services for clients.
Responsible for hiring, firing and other management tasks.
Competencies
• Manages team in determining the net asset • Strong verbal and written • Provides guidance to less • Proficiency in MS Office
value (NAV) for assigned funds for each communication skills experienced team (excel in particular)
measurement cycle. • Email and Telephone members. • Exposure to Exposure to
• Manages relationships with assigned clients Etiquettes Research Databases
• Manages processes for checking for the • Analysis Skills (such as Bloomberg or
completeness and accuracy of disclosure in • Prioritization – Time IDC)
financial statements. Management
• Manages the drafting of financial reports for • Innovation & Problem
clients to review fund performance. solving
Communicates reports and accounting • Change management
intricacies to clients. • Interpersonal Skills
• Recruits, directs, motivates and develops staff, • Timely escalations
maximizing their individual contribution, their
professional growth and their ability to function
effectively with their colleagues as a team.

Hedge Fund-Holding Reconciliation - Grade K (PM track) Back to Career Matrix

7+ years of total work experience and at least 3-4 years in management preferred; Big 4 accounting firm
Experience
Role Summary
Responsible for training and employee development, planning, monitoring of processing and creation/overseeing quality
control effort. Provides oversight for multiple small teams or one large team of Accountants responsible for conducting
accounting services on behalf of assigned clients including determining net asset values, calculating fund performance,
allocating expenses, and preparing reports. Manages the performance of teams and sets area priorities. Provide all business
specifications and manage project plan. Responsible for hiring, firing and other management tasks.
Competencies
• Manages team in determining the net asset value • Strong verbal and • Provides guidance • Proficiency in MS
(NAV) for assigned funds for each measurement written communication and insights to team Office (excel in
cycle. skills members. particular)
• Manages relationships with assigned clients • Email and Telephone • Exposure to
• Prioritize and co-ordinate for Issues and Process Etiquettes Exposure to
Improvements, Allocate and manage work across • Analysis Skills Research Databases
teams, BCP Planning & Testing, Keep the teams • Prioritization – Time (such as Bloomberg
updated on Management decisions that are Management or IDC)
shared and to be cascaded, • Innovation & Problem
• Optimize costs and Identify internal metrics solving
which impact Client Ratings and ensure 100% • Change management
delivery on committed targets. • Interpersonal Skills
• Recruits, directs, motivates and develops staff, • Timely escalations
maximizing their individual contribution, their
professional growth and their ability to function

Business Analyst
HedgeMark
Business Analyst

Business Analyst - Trainee - Grade G (IC track) Back to Career Matrix
Master's degree in business management or a related discipline required, or equivalent work experience
Qualification
required, Bachelors in Computers is a plus
Experience 0-1 years of experience required; related internship experience is a plus
Role Summary
Participates in Business Analysis/IT training program to become familiar with platforms, tools, and technologies.
Competencies
• Participates in closely supervised training • Strong verbal and • Works with users and • Proficiency in MS Office
program consisting of a variety of in-house written communication peers in planning, • Participates in software
courses with the focus on becoming familiar skills developing, design/prototyping,
with the platforms, tools and technologies • Email and Telephone implementing, and Testing of new or
that play a major role in the success of IT at Etiquettes supporting new or enhanced applications
BNY Mellon. Successful completion • Analysis Skills existing applications. and/or systems.
culminates with reclassification into an • Prioritization – Time
Business Analyst role. Management
solving

Business Analyst - Grade G (IC track) Back to Career Matrix
Qualification
Experience 0-2 years of experience required; related internship experience is a plus
Role Summary
Participates in developing functional or operational requirements, testing, training and implementing applications with guidance
from more experienced Business Analysts.
Competencies

• Utilizing defined processes, collects and • Strong verbal and • Works with users and • Proficiency in MS Office
defines requirements, translates into written communication peers in planning, • Participates in software
functional design documents and, with skills developing, design/prototyping,
direction from more experienced business • Analysis Skills implementing, and Testing of new or
systems analysts • Prioritization – Time supporting new or enhanced applications
• Participates in development of the technical Management existing applications. and/or systems.
design, test plans and user documentation. • Innovation & Problem • Good Understanding of
solving Database
• Change management • Perform basic queries in
• Interpersonal Skills SQL

Business Analyst - Grade H (IC track) Back to Career Matrix
Qualification
2-4 years of experience in a systems environment required; experience in the securities or financial services
Experience
industry is a plus
Role Summary
Analyzes and defines the business requirements and functional or operational architecture for moderately complex projects.
Formulates and defines system scope and objectives by thoroughly understanding business processes. Gathers and analyzes
information and provides recommendations to address and resolve business issues for a specific business group.
Competencies

• Using documented processes, • Strong verbal and written • Applies experiences with • Proficiency in MS Office
collects and defines requirements, communication skills existing software and/or • Participates in software
translates into functional design • Analysis Skills systems development design/prototyping, Testing
documents and develops project • Prioritization – Time processes to develop of new or enhanced
scope, objectives, constraints and Management better processes to be applications and/or systems.
assumptions for a given project. • Innovation & Problem used in the future. Actively • Good Understanding of
solving influences software and/or Database
• Change management systems development • Perform basic queries in
• Interpersonal Skills process improvement SQL
• Timely escalations initiatives. • Knowledge on Project
Management tools/Defect
Management tools like JIRA
or HP QC will be an
advantage

Business Analyst - Grade I (IC track) Back to Career Matrix
Qualification
4-6 years of experience in a business analyst environment required; experience in the securities or financial
Experience
services industry is a plus
Role Summary
Formulates and defines system's scope and objectives based on both user needs and a good understanding of the
application, business, operational and/or industry requirements. Develops business requirements and functional specifications
for medium to large sized projects. Provides advice to internal business groups on process improvement projects by analyzing
business process flows and identifying changes. May also provide guidance in this area to less experienced business
analysts.
Competencies

• Formulates and defines project • Strong verbal and • Applies experiences with • Proficiency in MS Office
scope, objectives, constraints and written existing software and/or • Participates in software
assumptions using existing communication systems development design/prototyping, Testing of
documented processes based upon skills processes to develop better new or enhanced applications
user needs as well as a thorough • Analysis Skills processes to be used in the and/or systems.
knowledge of the application, • Prioritization – Time future. Actively influences • Good Understanding of
business, operations and industry. Management software and/or systems Database
Collects and defines requirements, • Innovation & development process • Perform basic queries in SQL
translates into functional design, Problem solving improvement initiatives. • Knowledge on Project
test planning, and user • Change Management tools/Defect
documentation processes. management Management tools like JIRA or
• Interpersonal Skills HP QC will be an advantage

Business Analyst - Grade J (PM track) Back to Career Matrix
Qualification
6+ years of experience in systems quality environment, or an equivalent combination of education and work
Experience
experience required; experience in the securities or financial services industry is a plus
Role Summary
Leads a small team of business analysts responsible for analyzing, defining and prioritizing the business requirements,
functional specifications and operational architecture for complex projects. Elicits, challenges, and prioritizes requirements
using standard processes and templates, and translates into functional design and use case documents. Trains staff in
technical tools and skills, as well as specific applications or systems and their business functions to maximize their contribution
to the team.
Competencies

• Participates and provides guidance in • Strong verbal and • Manages a small • Proficiency in MS Office
development of the technical design, test written communication business analysis • Participates in software
plans, and user documentation. Consults skills team design/prototyping, Testing of
internal business groups on requirements, • Analysis Skills new or enhanced applications
functional architecture and implementation. • Prioritization – Time and/or systems.
Tracks scope and change throughout the Management • Good Understanding of
remainder of the initiative utilizing formal • Innovation & Problem Database
requirements management principles, solving • Perform basic queries in SQL
including change control and requirements • Change management • Knowledge on Project
traceability. • Interpersonal Skills Management tools/Defect
• Timely escalations Management tools like JIRA or
HP QC will be an advantage

Business Analyst - Grade K (PM track) Back to Career Matrix
Qualification
8+ years of experience in systems quality environment, or an equivalent combination of education and work
Experience
experience required; experience in the securities or financial services industry is a plus
Role Summary
Manages a small to medium-sized team of business analysts. Supervises and designs multiple complex projects that require
an comprehensive knowledge of the business/industry. Develops and monitors project plans and budgets. Participates in the
recruiting process; instructs, assigns, directs and reviews the work of other business analysts; prepares performance reviews
and provides ongoing feedback.
Competencies

• Participates in or leads initiatives to analyze • Strong verbal and • Manages a small • Participates in software
complex business problems to be solved written communication business analysis design/prototyping, Testing
with automated systems, providing skills team of new or enhanced
enhancements and recommendations as • Analysis Skills applications and/or systems.
needed. Utilizes standard procedures and • Prioritization – Time Good Understanding of
policies when selecting methods, Management Database
techniques, and evaluation criteria for • Innovation & Problem • Knowledge on Project
obtaining results. solving Management tools/Defect
• Provides technical expertise in identifying, • Change management Management tools like JIRA
evaluating and developing systems and • Interpersonal Skills or HP QC
procedures that are cost effective and meet • Timely escalations • Perform queries in SQL and
user requirements. be able to generate reports if
needed

US Transfer Agency (USTA)

Click here for
Learning Pathway
US Transfer Agency (USTA) Overview
TA issues and cancels certificates to reflect changes in ownership (A/c set up and Maintenance). It also keeps record of who owns a company's stocks and bonds and
how those stocks and bonds are held whether by the owner in certificate form, by the company in book-entry form, or by the investor's brokerage firm in street name. It
acts as an intermediary for the company. TA also serves as the company's paying agent to pay out interest, cash and stock dividends, or other distributions to stock-
and bondholders. Additionally, they work as an exchange agent (exchanging a company's stock or bonds in a merger) and mailing agent (mailing the company's
quarterly, annual, and other reports). This involves settlements, CA reporting and reconciliations. All activities performed in India are services as a Transfer Agent to only
US citizens based in US. The team handles both retail and Institutional clients.
Client Processing: Performs administration of accounts.
• New Account – Establish new accounts for shareholders on the record keeping system
• Financials – 1) Redemptions - Requests received by brokers/shareholders to sell shares 2) Purchases – Requests received by brokers/shareholder to purchase shares into their
account by Check, ACH or Wire. 3)Exchanges – Process requests received by brokers/shareholder to move shares from one fund into a different fund. 4) Control Trades – Process “as
of” redemptions or purchases for financial intermediaries approved by the fund. 5) Transfers –Requests received by brokers/shareholder to change ownership of a shareholders account.
• Maintenances – Process requests received by brokers/shareholders to update shareholder account information (ie address changes, privilege updates)
• Group Plan Purchases – Process payroll purchases on behalf of employer for their qualified retirement plan
• Transfer of Assets – Generate a letter based on shareholder instructions to move assets in a tax deferred account from one custodian to another custodian
• Correspondence – Generate letters in response to a shareholder/broker inquiry or rejected transaction
• Quality Control – Review of trades processed by the Transaction Processing team for accuracy and completeness
• Adjustments – Processing account corrections and/or as of transactions for trades incorrectly processed
• Trade Desk Reports – Volume reporting for trades taken by the Call Center Agents
Financial Control: Performs Reconciliations, Settlements and Corporate Actions on Funds.
• Accrual Reconciliation: Funds that accrue daily income are reconciled each day to validate the daily rate on the TA system matches the daily rate utilized by Fund Accounting. This
process involves reconciling the Fund Accounting daily income figure to the TA daily income figure while accounting for any accrual gain/loss resulting from "as of" trades or estimates.
• Mutual Fund Settlement – Provide mutual fund cash availability information to various Fund Accounting agents, Portfolio Managers and the Clients. Perform cash settlement with the
clients’ various Custody agents and submits associated wire transfer instructions.
• DDA Reconciliation – Conduct daily reconciliation of mutual fund transactions, transmission files and Demand Deposit Account bank statement activity. Resolve any exception items in
a timely manner.
Regulatory Ops and Reporting: Publish Client Reports and Defence Reports
• Ops Admin Daily/Monthly Production/SLA Reporting – Compiles and reports daily volumes received, processed and held over for client reporting. Monthly reports are SLA reports
• Segregation of Duties – Review of daily defence reports to monitor all value based transactions has a dual control and prevent from internal fraud
• PEP Alerts – Politically Exposed Persons is a process supported for Dreyfus to identify and escalate any shareholder who meets the definition of PEP.
• Reg Ops Reporting – Create quarterly reports of AML/SAR activities which is sent across to the Client Service Officers
Sub Accounting: Supports Broker Dealer part of the business

• Broker Dealer Support Transfer in Kind – Account level maintenances for NT3 and Trust accounts.
• Dealer File Updates – Add or maintain information on the Dealer File within the mainframe system.
• TA Commissions – Track and reconcile commission activity for mutual fund clients residing on FSR that charge and pay transaction-based or asset-based commissions daily.
Management Company Support: Research and resolve tickets created by teams on behalf of shareholders and/or brokers for
incorrect processing.
User Acceptance Testing: Systems testing of new functions prior to moving to production
Product Specialist and Product Analyst: Provide data analysis/report writing expertise that supports the Transfer Agency/Subaccounting LOB, including customer experience and self-
service initiatives. Use various tools to analyze data and produce reports for management

Legend
USTA - Career Matrix Roles exists only outside India
Test Program
Lead Manager Lead Manager Manager,
Investor Srvcs Investor Srvcs
Client Processing Client Processing Business Tech
(K - PM) Ops Ops (K - PM) Liaison
(K - PM) (K - PM)
(K - PM)
Manager Specialist,
Manager Investor Manager Investor Manager Client
/Specialist Client Business Tech
Srvcs Ops Srvcs Ops Services
Processing Liaison
(J - PM) (J - PM) (J - PM)
(J - PM/IC) (J - PM)
Asst Manager Lead Analyst,

Team Lead Client
Investor Srvcs Business Tech
Processing
Ops Liaison
(I - /PM)
(I - PM) (I –IC )
Lead Rep/ Senior

Job Complexity
Lead Rep, Lead Rep / Sr. Lead Rep, Sr.Analyst, Sr. Analyst
Alyst, Client Serv
Investor Services Analyst, Client Investor Srvcs Investor Srvcs Business Tech
Lead Rep,
Operations Processing Ops Ops Liaison
Sharehldr Servs
(H –IC /PM) (H –IC /PM) (H –IC) (H –IC) (H –IC )
(H –IC/PM)
Sr. Rep Business

Sr. Rep Investor Sr. Rep Investor Analyst, Client
Analyst, Client Technology
Srvcs Ops Srvcs Ops Service
Processing (G-IC) Liaison
(G-Support) (G-Support) (G-IC)
(G-Support)
Inter. Rep, AML / Inter. Rep

Inter. Rep, Inter. Rep, Inter.Rep
Prevention/KYC / Inter. Rep, Business
Investor Srvcs Investor Srvcs Shareholder
& Inter Rep Reg Client Processing Technology
Ops Ops Services
Oversight mgmt (F-Support) Liaison
Rep, AML /
Prevention /KYC Rep, Client Rep., Investor Rep., Investor Rep, Shareholder
& Rep Reg Processing Srvcs Ops Srvcs Ops Services
Oversight Mgmt (E-Support) (E-Support) (E-Support) (E-Support)
(E-Support)
Reg Ops & Client Sub Accounting Fin Control & Corp Client Services UAT
SOD Processing Actions MCS

Navigation
Functional

Cross


USTA Global Job Codes at a glance :
Job code Job Title Role
70313 Representative, AML/Prevention/KYC Support
70405 Representative, Regulatory Oversight Management Support
70524 Representative, Investor Services Operations Support
70585 Representative, Shareholder Services Support
70172 Intermediate Representative, Business Technology Liaison Support
70312 Intermediate Representative, AML/Prevention/KYC Support
70404 Intermediate Representative, Regulatory Oversight Management Support
70523 Intermediate Representative, Investor Services Operations Support
70584 Intermediate Representative, Shareholder Services Support
70106 Analyst, Client Service Individual Contributor
70171 Senior Representative, Business Technology Liaison Support
70522 Senior Representative, Investor Services Operations Support
70107 Lead Representative, Client Service Support
70521 Senior Analyst, Investor Services Operations Individual Contributor
70605 Senior Analyst, Client Processing Individual Contributor
70663 Lead Representative, Investor Services Operations Support
70689 Lead Representative, Shareholder Services Support
70169 Lead Analyst, Business Technology Liaison Individual Contributor
70518 Assistant Manager, Investor Services Operations Management
70101 Manager, Client Service Management
70168 Specialist, Business Technology Liaison Individual Contributor
70517 Manager, Investor Services Operations Management
70603 Specialist, Client Processing Individual Contributor
70164 Test Program Manager, Business Technology Liaison Management
70516 Lead Manager, Investor Services Operations Management

Growth Matrix :
Inter. Rep, Inter. Rep,

Investor Investor
Services Services
Ops Ops
(F-Support) Inter. Rep,
Inter. Rep, (F-Support) AML /
Client Prevention /
Processing KYC
Rep, Client Rep,

Shareholder
Processing Services

USTA – Cross Functional Career Matrix (1/2)
IVC, IPG, Settlements – CIBC DSD – Custody Processing

Instructions

CT & CT Analytics - Asset Admin
IVC, IPG, Settlements – IPG
(CDO)
GIA - GIA BD (Transaction
EMEA TA – Investor Services GIA - GIA Support
Processing)
further details
MOO - Trade Processing

Click on “HedgeMark” in cross-
Client Processing Reg Ops & back to this page
OPD
AIS - Investor Services
Sub Accounting
Treasury Services- Cash

Operations

USTA – Cross Functional Career Matrix (2/2)
Instructions

IVC, IPG, Settlements – Settlements
further details
Portfolio Services - Corporate
Actions & Income Portfolio Services - Client Service
Click on “HedgeMark” in cross-
Fin Control & Corp Client Services back to this page
Action Client Experience -Custody Client
Services
UAT
Fund Accounting -Quality

Assurance & Testing
DSD – SME
GIA - Business Technology Liaison -

GIA & Global

AML/Prevention/KYC
Representative, AML/Prevention/KYC – Grade E - 70313
Qualification Bachelor's degree (Commerce preferred)
Experience Transaction processing. Transfer Agency (preferred)
Primary responsibilities:
• The role requires processing of transactions as requested by the investors. Staff might be involved in reporting as well as
review of alerts generated by system against the existing customer information for risk relevant data such as Negative News
and Politically Exposed Persons (PEPs). The staff in this role is expected to an eye for details.
• Processing of transactions/ requests as requested by investors/ dealers/ brokers
• Evaluate information and information sources for accuracy, reliability and relevance in assessing risk
• Accountable for the timeliness, accuracy and quality
• Analyze, research and resolve review guidelines to produce client deliverables
Competencies
Basics of Strong verbal and written • Ensures Accountability - • Proficiency in MS
Life cycle of trade. communication skills Takes ownership of the Office
Processing of entries in Record Email and Telephone Etiquettes reports and Report it in • MS Excel (preferred)
keeping systems (preferred) time.
Prioritization – Time Management • Leave planning, backup
Problem solving planning.
Interpersonal Skills
Timely escalations

Regulatory Ops and Reporting

Representative, Regulatory Oversight Management - Grade E – Job Code - 70405
Transaction processing.
Experience
Transfer Agency (preferred)
• Generating and or Publishing Regulatory or Operations reports
• Evaluate information sources for accuracy, reliability and relevance in assessing risk
• Accountable for the timeliness, accuracy and quality of generated reports
Competencies
• Basics of • Strong verbal and written • Ensures Accountability - • Proficiency in MS
• Life cycle of trade. communication skills Takes ownership of the Office
• Processing of entries in Record • Email and Telephone Etiquettes reports and Report it in • MS Excel (preferred)
keeping systems (preferred) • Prioritization – Time Management time.
• Problem solving • Leave planning, backup
• Interpersonal Skills planning.

Financial Control & Sub Accounting

Representative, Investor Services Operations - Grade E – Job Code - 70524
Associate's degree or the equivalent combination of education and experience is required.
Qualification
MBA in Finance is preferred
Experience 2-3 years of total work experience preferred; experience in transfer agency operations preferred.
• Provide daily fund share activity to Fund Accounting agents as well as Custody movement instructions to Custodial Banks.
Verify accuracy of gain/loss activity.
• Research and resolve complex Tape Variances. Perform daily reconciliation of DDA activity using RECON+ application.
• Research any DDA reconciling item using various applications such as (but not limited to) TA Mainframe Systems, COLD,
Image and Bank Software Applications.
• Prepare and distribute incoming wire reports. Prepare weekly item count reports. Give guidance to newer staff members
• Staff is expected to interact within and outside the department both onshore as well as offshore
• Closely follow all regulatory and internal procedures
• Complete any required documentation for productivity measurement
• Participate in initiatives to ensure the highest level of customer service is provided. Help and/or support any ongoing
projects as requested by managers or co-workers
Competencies
• Prepares system-generated fund settlement and • Strong verbal and • No direct reports; provides • Non-Core
other accounting reports or templates and conducts written guidance to less
general data validation and reconciliation. communication experienced transfer
Reconciles commission and 12b1 invoicing. skills agency operations Support
Facilitates payment to firms and invoicing of asset • Email and staff, as needed.
managers. Researches exceptions and follows Telephone
through to resolution. Reviews work of more junior Etiquettes
colleagues.

Management Company Support

Representative, Shareholder Services - Grade E – Job Code - 70585
Experience Transaction processing. Transfer Agency (preferred)
• With minimal guidance, supports day-to-day processing activities. Research the tickets / complaints received thoroughly
understand the incorrect processing which was done and take steps to rectify the error
• Rectify data on the Bank's systems, inputs and verifies accuracy of information.
Competencies
keeping systems (preferred) • Prioritization – Time Management time.
• Problem solving • Leave planning, backup
• Interpersonal Skills planning.

Client Processing
Representative, Client Processing - Grade E – Job Code - 70611
• Responsible for Updating and Maintenance of Mutual fund accounts for Financial Institutions dealing with wide variety of requests
involving critical financial transactions related to transfer/ exchange of funds, redemption and subscriptions, performing high dollar
trades, updating and maintaining Financial information for the shareholders, executing movement of assets from one custodian to
another, creation of new accounts and maintenance of existing accounts on the systems and process Group plan purchases, Adds and
maintains data on the Bank's systems, inputs and verifies accuracy of information. Compiles and synthesizes varying data sources for
use by internal or external clients. May review information entered by other team members.
• Requires to be fully aware of key accountabilities, company policies, procedures and department protocols to ensure delivery of prompt
and highest standards of service to the assigned Financial Institutions and shareholders
• Requires technical expertise on system, products and service and sound knowledge of compliance requirements, Management
company specific requirements and Legal specifications for each request type
• Responsible for performing client specific requests while effectively prioritizing agreed workflow for TA, Penalty and Critical care clients
• Follow procedures and workflows rigorously in order to perform day-to-day activities. Work under guidance of senior team member or
TL/Manager.
Competencies
• Under direct supervision, performs routine operational tasks • Enters data, keying information • No direct • Non-Core
in a product or functional area, processing updates to client from checks, interpreting payee reports.
accounts or company records and ensuring that data is information and transcribing into
feeding into the right system. Enters data, keying information on-line system. Begins monitoring
from checks, interpreting payee information and transcribing exceptions. May interact with
into on-line system. Begins monitoring exceptions. May record keepers to verify that client
interact with record keepers to verify that client records are records are in sync with the fund
in sync with the fund company or another custodian. company or another custodian.

UAT
Intermediate Representative, Business Technology Liaison – Grade F - 70172
Qualification Bachelor's degree (CS/IT Preferred)
Experience 1-2 years of total work experience preferred. Experience in information technology support preferred.
• Coordinates business technology activities with internal partners.
• Uses documented processes and guidelines to test applications and/or systems of moderate complexity. Conducts basic
test preparation and test execution activities.
• Tracks data and general technology requirements from businesses or functional areas for project of greater scope. Provides
data and information to team members, as needed.
• May assist in training users on new or enhanced applications and/or systems that are more straightforward in nature.
Competencies
• Coordinates business technology • Tracks data and general • No direct reports; provides • Non-Core
activities with internal partners. technology requirements from guidance to less • Responsible for the
• Uses documented processes and businesses or functional areas for experienced Business quality and
guidelines to test applications project of greater scope. Provides Technology Liaison Support completion of own
and/or systems of moderate data and information to team staff, as needed. work.
complexity. Conducts basic test members, as needed.
preparation and test execution • May assist in training users on
activities. new or enhanced applications
and/or systems that are more
straightforward in nature.

AML/Prevention/KYC
Intermediate Representative, AML/Prevention/KYC – Grade F - 70312
Transaction processing. Transfer Agency (preferred) 2+ years experience in Regulatory Operations Client
Experience
Reporting
• The role requires processing and monitoring of transactions as requested by the investors. Staff might be involved in
reporting as well as review of alerts generated by system against the existing customer information for risk relevant data
such as Negative News and Politically Exposed Persons (PEPs). The staff in this role is expected to an eye for details.
• Process Expert and query solver, hence should have enhanced knowledge of the core process
• Assists supervisors with day to day operations.
• Processing of transactions/ requests as requested by investors/ dealers/ brokers
• Evaluate and Highlight information and information sources for accuracy, reliability and relevance in assessing risk
• Accountable for the timeliness, accuracy and quality for self and juniors
Competencies
Basics of Life cycle of trade. Strong verbal and written Ensures Accountability - • Proficiency in MS
Processing of entries in Record communication skills Takes ownership of the Office
keeping systems (preferred) Email and Telephone Etiquettes reports and Report it in • MS Excel (preferred)
Analytical Skills time.
Prioritization – Time Management Leave planning, backup
Problem solving planning.
Timely escalations

Regulatory Ops and Reporting

Intermediate Representative, Regulatory Oversight Management - Grade F – Job Code - 70404
Transaction processing.
Experience Transfer Agency (preferred)
2+ years experience in SRA Reporting (preferred)
• Generating and or Publishing and Monitoring Regulatory or Operations reports
• Process Expert and query solver, hence should have enhanced knowledge of the core process
• Assists supervisors with day to day operations.
• Evaluate information sources for accuracy, reliability and relevance in assessing risk
• Accountable for the timeliness, accuracy and quality of generated reports
Competencies
keeping systems (preferred) • Analytical Skills time.
• Prioritization – Time Management • Leave planning, backup
• Problem solving planning.


Intermediate Representative, Investor Services Operations - Grade F – Job Code - 70523
Qualification
• Demonstrate an advanced knowledge of job duties and department requirements. Assists supervisors with day to day operations.
• Acts as an advisor to other team members in performing their functions. Resolves escalated or complex issues.
• Overall knowledge of functions and their relationship to the other areas of the Transfer Agency and the Mutual Fund Industry in
general. May participate in and coordination of group initiatives and training of new and existing employees will be required.
• May identify and participate in the implementation of process improvements which lead to reduction of audit/financial exposure
and improve team efficiency. Carries a high quality service attitude into all job functions.
• Responsible for any re-work or follow up items that require attention. Research and resolve complex Tape Variances in ACE+.
• Provide daily fund share activity to Fund Accounting agents as well as Custody movement instructions to Custodial Banks using
ACE+ application. Perform daily reconciliation of DDA activity using RECON+ application. Verify accuracy of gain/loss activity
• Give guidance to newer staff members, Assist Unit Supervisor/Manager in ensuring all settlements and reconciliations are
completed each day
• Prepare and distribute incoming wire reports, Prepare or review weekly item count reports; Assist with client conversions and de-
conversions.
Competencies
• Prepares system-generated fund settlement and other • Strong verbal and • No direct reports; • Exposure to Recon
accounting reports or templates and conducts general data written may have work Platforms (such as
validation and reconciliation. Reconciles commission and communication skills allocation TLM)
12b1 invoicing. Facilitates payment to firms and invoicing • Email and Telephone responsibilities.
of asset managers. Researches exceptions and follows Etiquettes
through to resolution. Reviews work of more junior • Analysis Skills
colleagues and answers any questions of higher
complexity. May occasionally work with clients.

Management Company Support

Intermediate Representative, Shareholder Services - Grade F – Job Code - 70584
Experience 1-2 years of total work experience preferred; experience in financial services preferred.
Competencies
• Under general supervision, assists professional • Investigates errors in shareholder • No direct reports; • Non-Core
and management staff by responding to phone, accounts and statements. Routes provides guidance to
email and other inquiries regarding fund issues that cannot be addressed at less experienced
information, services and procedures. point of contact to appropriate staff.
• Responds to straightforward questions about team, in accordance with
shareholder accounts and provides more documented procedures.
advanced technical assistance. Responses are
fast, efficient and accurate.

Client Processing
Intermediate Representative, Client Processing - Grade F – Job Code - 70610
• Demonstrate an advanced knowledge of job duties and department requirements.
• Assists supervisors with day to day operations. Acts as an advisor to other team members in performing their functions.
• Resolves escalated or complex issues related to client requests
• Overall knowledge of functions and their relationship to the other areas of the Transfer Agency and the Mutual Fund Industry
in general. May participate in and coordination of group initiatives and training of new and existing employees will be
required.
• May identify and participate in the implementation of process improvements which lead to reduction of audit/financial
exposure and improve team efficiency.
• Carries a high quality service attitude into all job functions. Participates in quality programs to foster a high quality service
environment.
• Responsible for performing daily QC audit, sharing error feedback as well as gain/loss & Client complaint tracking, team
reporting (Quality, Productivity & TAT etc), research & resolution of complex and NIGO (not in good order) cases. Detailed
understanding of TA mainframes, Knowledge of FSR, Surpass, Web Image and PATS/UTOA will be added advantage.
Competencies
• Performs a variety of operational tasks in a product or • Investigates and corrects errors in • No direct • Non-
functional area, including processing updates to client client accounts. Conducts independent reports. Core
accounts or company records and interpreting and analysis and policy interpretation.
handling exceptions. Investigates and corrects errors in Responsible for reconciliations,
client accounts. Conducts independent analysis and policy including reconciling cash breaks,
interpretation. Responsible for reconciliations, including position differences, and gathering and
reconciling cash breaks, position differences, and compiling data.
gathering and compiling data.

Client Service
Analyst, Client Service - Grade G - 70106
0-3 years of total work experience preferred. Experience in an operational area and/or client services
Experience
preferred.
Competencies
Basics of Strong verbal and written Ensures Accountability Proficiency in MS
Life cycle of trade communication skills - Takes ownership of Office
processing of entries in Record Email and Telephone Etiquettes the ticket and Resolve Exposure to Record
keeping systems Analysis Skills in time. Keeping System
Product knowledge, Sound knowledge Prioritization – Time Management Leave planning, (such as FSR,
of type of accounts Problem solving backup planning. SuRPAS)
Ability to research and resolve tickets Interpersonal Skills
Timely escalations

UAT
Senior Representative, Business Technology Liaison – Grade G - 70171
Experience 2-3 years of total work experience preferred. Experience in information technology support preferred.
• Coordinates business technology activities with internal partners.
• Uses documented processes and guidelines to test applications and/or systems of higher complexity. Conducts test
preparation and test execution activities and reviews work of more junior colleagues.
• Tracks data and general technology requirements from businesses or functional areas for project of greater scope or
complexity. Provides data and information to team members, as needed.
• May train users on new or enhanced applications and/or systems that are more straightforward in nature.
Competencies
Provides support for Uses documented processes No direct reports; Non-Core
improving technology use in and guidelines to test provides guidance to • Tracks data and general technology
business areas for projects applications and/or systems less experienced requirements from businesses or
and technology that are of of higher complexity. Business Technology functional areas for project of greater
higher complexity. Reviews Conducts test preparation and Liaison Support staff, scope or complexity. Provides data and
work of more junior test execution activities and as needed. information to team members, as
colleagues and provides reviews work of more junior needed.
technical assistance on colleagues. • May train users on new or enhanced
complex matters. applications and/or systems that are
more straightforward in nature.


Senior Representative, Investor Services Operations - Grade G – Job Code - 70522
Qualification
• Demonstrate an advanced knowledge of job duties and department requirements. Assists supervisors with day to day operations.
• Acts as an advisor to other team members in performing their functions. Resolves escalated or complex issues.
• Overall knowledge of functions and their relationship to the other areas of the Transfer Agency and the Mutual Fund Industry in general.
May participate in and coordination of group initiatives and training of new and existing employees will be required.
• May identify and participate in the implementation of process improvements which lead to reduction of audit/financial exposure and
improve team efficiency. Carries a high quality service attitude into all job functions.
• Responsible for any re-work or follow up items that require attention. Research and resolve complex Tape Variances in ACE+.
• Provide daily fund share activity to Fund Accounting agents as well as Custody movement instructions to Custodial Banks using ACE+
application. Perform daily reconciliation of DDA activity using RECON+ application. Verify accuracy of gain/loss activity
• Give guidance to newer staff members, Assist Unit Supervisor/Manager in ensuring all settlements and reconciliations are completed
each day
• Prepare and distribute incoming wire reports, Prepare or review weekly item count reports; Assist with client conversions and de-
conversions.
Competencies
• Prepares system-generated fund settlement and other • Strong verbal and written • No direct reports; • Exposure to Recon
accounting reports or templates and conducts general communication skills may have work Platforms (such as TLM)
data validation and reconciliation. Reconciles • Email and Telephone allocation and team
commission and 12b1 invoicing. Facilitates payment Etiquettes lead responsibilities .
to firms and invoicing of asset managers. Researches • Analysis Skills
exceptions and follows through to resolution. Reviews • Prioritization – Time
work of more junior colleagues, answers any questions Management
of higher complexity and works with clients on a
regular basis.

Client Processing
Analyst, Client Processing - Grade G – Job Code - 70606
0-3 years of total work experience is preferred. Experience in brokerage processing is preferred. Applicable
Experience
• 10
Competencies
• Processes account related transactions per scheduled • Manages situations • May be responsible • Non-Core
events/client authenticated direction. Following established which may require for allocating and
procedures, answers inquiries, and resolves problems or adaptation of checking work of
issues. Manages situations which may require adaptation response or team members.
of response or extensive research according to client extensive research May be responsible
response. Escalates more complex situations to senior according to client for specific
colleagues. response. Escalates supervisory review
• Integrates area knowledge with understanding of industry more complex and approval
standards and practices to provide solutions to internal and situations to senior actions.
external clients. colleagues.

Client Service
Senior Analyst, Client Service - Grade H - 70105
• Monitors and when required supports day-to-day processing activities ensuring quality and timeliness of all work produced and delivered.
• Contributes as a lead on resolving complex queries and escalations from internal and external clients. Ensures that all customer responses
are thoroughly documented and verified. Also to be accountable as first point to escalation.
• Also serves as a work management for the team. May be responsible for specific supervisory review and approval actions.
• Periodically brain storming with the team and come–up with Process improvement ideas
• Periodically or on-demand should have a defined process to extract or report MIS
• Timely Concurring procedures or process related docs. & ensuring all implemented controls & Record mgt. procedures are being followed by
junior staffs.
• Regulatory change – Taking lead on impact, documenting and updating procedure, educating junior staffs & escalate sr. management about
Gaps or breach.
• Act as training lead for the team. Training and up skilling new joiners in the team, also working with the Manager to understand training needs
for the junior staffs.
• Work with training spoke - provide / assist / conduct Introductory session for new joiners. Also responsible to conduct periodic PKT
• Understanding of internal/external audit, their requirements and participating in audits as per requirement
• Conduct Team meeting, Daily huddles, cascading process updates and Queue monitoring.
Competencies

Basics of Strong verbal and written Queue Management Proficiency in MS
Life cycle of trade communication skills Work Allocation Office
processing of entries in Record keeping Email and Telephone Etiquettes Drives Quality Proficiency in Record
systems Analysis Skills Ensures Accountability - Takes Keeping System
Product knowledge, Sound knowledge of type Prioritization – Time Management ownership of the ticket and (such as FSR,
of accounts Problem solving Resolve in time. SuRPAS)
Ability to research and resolve tickets Interpersonal Skills Leave planning, backup planning.
Timely escalations

Client Service
Lead Representative, Client Service - Grade H - 70107
Experience 3+ years of Team handling experience. Experience in Mutual Fund transaction processing, Transfer Agency preferred
junior staffs.
Gaps or breach.
Competencies

Basics of Strong verbal and written Queue Management Proficiency in MS
Life cycle of trade communication skills Work Allocation Office
processing of entries in Record keeping Email and Telephone Etiquettes Drives Quality Proficiency in Record
systems Analysis Skills Ensures Accountability - Takes Keeping System
Product knowledge, Sound knowledge of type Prioritization – Time Management ownership of the ticket and (such as FSR,
of accounts Problem solving Resolve in time. SuRPAS)
Ability to research and resolve tickets Interpersonal Skills Leave planning, backup planning.
Timely escalations

UAT
Senior Analyst, Business Technology Liaison - Grade – H - 70170
Experience 0-3 years of total work experience preferred. Technical experience preferred.
• Uses defined or documented processes to collect and define requirements from businesses or functional areas.
• Works with users and peers on planning, implementing, and supporting new or existing applications. Uses knowledge of
business needs to provide design support to software and application development teams.
• Participates in process improvement reviews and summarizes business issues and client feedback for team's review.
• Assists with training of users on new or enhanced applications and/or systems.
• Supports testing of new or enhanced applications and/or systems. Tasks include case development, requirement traceability
analysis, test preparation, script writing, and functional test execution.
• Uses basic knowledge of regulatory and legal requirements and BNY Mellon corporate policies involving risk and control to
support the development of improved business processes through technology.
Competencies

• Uses defined or Works with users and peers No direct reports. • Non - Core
documented on planning, implementing, Participates in process improvement • Uses basic knowledge of
processes to collect and supporting new or reviews and summarizes business issues regulatory and legal
and define existing applications. Uses and client feedback for team's review. requirements and BNY
requirements from knowledge of business - Supports testing of new or enhanced Mellon corporate policies
businesses or needs to provide design applications and/or systems. Tasks involving risk and control to
functional areas. support to software and include case development, requirement support the development of
application development traceability analysis, test preparation, improved business
teams. script writing, and functional test processes through
execution. technology.

Financial Control
Senior Analyst, Investor Services Operations - Grade H – Job Code - 70521
Bachelor’s degree or the equivalent combination of education and experience is required.
Qualification MBA in Finance is preferred
junior staffs.
Gaps or breach.
Competencies

• Conducts review processes & • Strong verbal and written communication skills • No direct reports • Proficiency in MS Office
procedures to reduce risk and • Email and Telephone Etiquettes (excel in particular)
enhance efficiency. Apply key • Analysis Skills • Exposure to Recon
controls/processes to identify • Prioritization – Time Management Platforms (such as TLM)
potential risk. • Interpersonal Skills

Client Processing
Senior Analyst, Client Processing - Grade H - 70605
3-5 years of total work experience is preferred. Experience in brokerage processing is preferred. Applicable local/regional licenses
Experience
or certifications as required by the business.
• First line staff management, including staff recruitment, development, retention, discipline, appraisal, etc. Maintaining and enhancing the quality and
throughput of the team. Ensure daily workflow is effectively being prioritized. Ensure all service level standards are being achieved within client
contractual guidelines
• Timely concurring procedures or process related docs, ensuring all implemented controls & record mgt. procedures are being followed by junior staffs.
breach.
• Act as training lead for the team. Training and up skilling new joiners in the team, also working with the Manager to understand training needs for the
junior staffs.
Competencies
• Processes account related transactions per scheduled • Participates in straightforward product May be responsible for • Non-Core
events/client authenticated direction. Answers inquiries and development, product enhancement, & allocating and checking
resolves problems or issues. Assesses needs and system testing to ensure that products work of support team
suggests/promotes alternative approaches to service models. continue to accurately & efficiently process members. May be
Participates in straightforward product development, product high value transactions. Solves problems responsible for specific
enhancement, and system testing to ensure that products based on an understanding & knowledge supervisory review,
continue to accurately and efficiently process high value of the intricacies of system. Integrates in- training and approval
transactions. Solves problems based on an understanding and depth area knowledge with a solid actions.
knowledge of the intricacies of the system. Integrates in-depth understanding of industry standards and
area knowledge with a solid understanding of industry standards practices to provide solutions to internal &
and practices to provide solutions to internal and external clients. external clients.

Client Processing
Lead Representative, Client Processing - Grade H - 70608
7+ years of technical and management experience preferred; experience in the securities or financial services industry a plus.
Experience
Applicable local/regional licenses or certifications as required by the business.
breach.
junior staffs.
Competencies
• Serves as the primary point of contact for clients and assists in • Participates in processing update to client • People Management / • Non-Core
communicating needs and issues internally with operating areas accounts and company records to ensure Direct Reports
and externally with clients. Participates in processing update to they are managed correctly and in a timely
client accounts and company records to ensure they are managed manner. Provides support to business and
correctly and in a timely manner. Provides support to business technology managers; handles complex
and technology managers; handles complex client inquiries and client inquiries and requests.
requests.


Lead Representative, Investor Services Operations - Grade H – Job Code - 70663
Qualification
• Timely Concurring procedures or process related docs. & ensuring all implemented controls & Record mgt. procedures are being followed by junior
staffs.
breach.
junior staffs.
Competencies
• Prepares system-generated fund settlement and • Strong verbal and written • Direct Reports • Proficiency in MS Office
other accounting reports.. Reconciles commission communication skills (excel in particular)
and 12b1 invoicing. Facilitates payment to firms and • Email and Telephone Etiquettes • Exposure to Recon
invoicing of asset managers. Researches and • Analysis Skills Platforms (such as TLM)
resolves the most complex exceptions. Reviews • Prioritization – Time Management
work of colleagues and acts as subject matter • Interpersonal Skills
expert. • Timely escalations

Client Processing
Lead Representative, Shareholder Services - Grade H – Job Code - 70689
breach.
junior staffs.
Competencies
• Independently assists professional and management • Researches and resolves complex No direct reports; provides • Non-Core
staff for complex matters by responding to phone, operational or shareholder issues. guidance to less
email and other inquiries regarding fund information, Routes issues that cannot be experienced staff.
services and procedures. addressed at point of contact to
• Responds to questions about shareholder accounts appropriate team, in accordance with
and provides more advanced technical assistance. documented procedures.
Responses are fast, efficient and accurate.
Addresses issues that have been escalated by junior
team members and ensures their responses to
shareholders meet set standards.

UAT
Lead Analyst, Business Technology Liaison - Grade I - 70169
• Collects and defines business or functional requirements and translates them into functional design, test planning, and user
documentation processes. Formulates project scope, objectives, constraints and assumptions based upon user needs as
well as knowledge of the application.
• Participates in development of the functional design and user documentation by analyzing business process flows or client
requests and identifying changes. Uses knowledge of business needs to provide design support to software and application
development teams.
• Gathers information and provides analysis of business issues or client feedback for a specific function or application.
• Trains users on new or enhanced applications and/or systems that are more straightforward in nature.
• Supports testing of new or enhanced applications and/or systems. Tasks include case development, requirement traceability
analysis, test preparation, script writing, and functional test execution. Identifies areas for improvement and works with
technology teams to improve applications for business use.
• Uses general knowledge of regulatory and legal requirements and BNY Mellon corporate policies involving risk and control to
support the development of improved business processes through technology.
Competencies
Collects and defines business or functional Participates in development of the No direct reports, Non-Core
requirements and translates them into functional design and user may provide
functional design, test planning, and user documentation by analyzing business guidance to less
documentation processes. Formulates process flows or client requests and experienced
project scope, objectives, constraints and identifying changes. Uses knowledge colleagues.
assumptions based upon user needs as of business needs to provide design
well as knowledge of the application. support to software and application
development teams.

Financial Control
Assistant Manager, Investor Services Operations - Grade I – Job Code - 70518
Qualification
4-5 years of total work experience with at least 0-1 years of management experience preferred. Experience in transfer agency
Experience
• Manages day-to-day data management and processing activities ensuring quality and accuracy of all work produced and delivered. Understands and
• Contributes to responses to data-related questions from internal and external clients and helps provide solutions. Ensures that all customer responses
are thoroughly documented and verified.
• Taking a lead on resolving complex queries and escalations. Also to be accountable as first point of escalation.
• Ensuring all implemented controls and Record management procedures are being followed by junior staffs.
• Recruits, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to function effectively
• Responsible for the supervision of team members and coordination of resources
Competencies
• Manages relationships with assigned clients and • Strong verbal and written communication • Manages a small • Proficiency in MS Office
ensures all questions are answered and issues skills transfer agency (excel in particular)
with fund transactions, accounting, and reporting • Email and Telephone Etiquettes operations team. • Exposure to Recon
are resolved. • Analysis Skills Platforms (such as TLM)
• Prioritization – Time Management

Client Processing
Team Lead, Client Processing - Grade I – Job Code - 70607
Associate's degree in a related discipline or equivalent combination of education and experience is required; Bachelor's degree
Qualification
preferred.
7+ years of technical and management experience preferred; experience in the securities or financial services industry a plus.
Experience
Applicable local/regional licenses or certifications as required by the business.
• Manages day-to-day data management and processing activities ensuring quality and accuracy of all work produced and delivered. Understands and
• Contributes to responses to data-related questions from internal and external clients and helps provide solutions. Ensures that all customer responses
are thoroughly documented and verified.
• Taking a lead on resolving complex queries and escalations. Also to be accountable as first point of escalation.
• Ensuring all implemented controls and Record management procedures are being followed by junior staffs.
• Responsible for the supervision of team members and coordination of resources.
Competencies
• Manages the daily transactional workflow within the • Manages the daily transactional workflow within the Supervises/man Non-Core
team and aligns team resources accordingly to complete team and aligns team resources accordingly to complete ages a small
the daily tasks. Serves as first line supervisor for the daily tasks. Serves as first line supervisor for client processing
assignment of tasks and resolution of issues. Directs, assignment of tasks and resolution of issues. Directs, team. May be
motivates and develops staff, maximizing their individual motivates and develops staff, maximizing their individual responsible for
contribution, their professional growth and their ability to contribution, their professional growth and their ability to specific
function effectively with their colleagues as a team. function effectively with their colleagues as a team. supervisory
• Ensures the volume of work produced meets • Ensures the volume of work produced meets review and
product/service standards and exceeds quality product/service standards and exceeds quality approval actions.
standards, and is properly reviewed and documented. standards, and is properly reviewed and documented.

Client Service
Manager, Client Service – J Grade – 70101
Qualification Bachelor's degree (Commerce preferred), MBA or Post Graduate (Preferred)
7+ years of Team handling experience.
Experience
Experience in Mutual Fund transaction processing, Transfer Agency preferred. Preferrably in USTA
• Manages day-to-day processing activities ensuring quality and timeliness of all work produced and delivered. Understands and
implements processes and may provide recommendations to increase efficiencies.
• Oversees the implementation of new data related technology enhancements / implementations. Ensures staff compliance with the
• Facilitates analysis of client and business needs and manages related documentation. Ensures the quality of day-to-day services
provided is in line with service level agreements in place for each client. Ensures business requirements are executed as expected.
• Recruits, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to
• Resolves escalated or complex issues.
• Analysis and Reporting: Ensure that timely detailed MI is generated and effective analysis is done. Reporting on all relevant aspect of
SLA’s and KPI is expected.
Competencies
Basics of Strong verbal and written communication Queue Management Proficiency in
Life cycle of trade skills Work Allocation MS Office
processing of entries in Record keeping Email and Telephone Etiquettes Drives Quality Proficiency in
systems Analysis Skills Ensures Accountability - Record Keeping
Product knowledge, Sound knowledge of Prioritization – Time Management Takes ownership of the team. System (such as
type of accounts Problem solving Leave planning, backup FSR, SuRPAS)
Ability to research and resolve tickets Interpersonal Skills planning. Meet Team TAT and People
Ability to manage a team of 20 Analyst at Timely escalations Accuracy Management.
various grades Conflict management & Capacity
planning

UAT
Specialist, Business Technology Liaison - Grade J - 70168
• Manages day-to-day testing activities ensuring quality and timeliness of all work produced and delivered. Understands and implements
processes and may provide recommendations to increase efficiencies
• Establishes operating procedures for the unit as relevant and ensures that the procedures align with the goals and objectives for the
area.
Competencies
Elicits, challenges, and prioritizes business Participates in and provides guidance on No direct reports, provides Non-Core
requirements; translates into functional development of functional requirements guidance to less experienced
design and use case documents. Develops and user documentation. Consults colleagues. Leads projects and
project scope, objectives, constraints and internal business groups on allocates work accordingly.
assumptions. Plans and formulates aspects requirements, functional architecture and
of development proposals including the implementation. Uses thorough
objective or purpose of projects, existing knowledge of business needs to provide
applications that can be utilized, and design support to software and
equipment and human resource application development teams.
requirements.


Manager, Investor Services Operations - Grade J – Job Code - 70517
Qualification
5-7 years of total work experience with at least 0-1 years of management experience preferred. Experience in transfer
Experience
agency operations preferred.
• Manages day-to-day processing / reporting activities ensuring quality and timeliness of all work produced and delivered. Understands
and implements processes and may provide recommendations to increase efficiencies
• Establishes operating procedures for the unit as relevant and ensures that the procedures align with the goals and objectives for the
area.
Competencies
• Manages relationships with • Strong verbal and written communication skills • Manages multiple small • Proficiency in MS
assigned clients and resolves any • Email and Telephone Etiquettes teams or one large Office (excel in
escalated issues related to fund • Analysis Skills transfer agency particular)
transactions, accounting, and • Prioritization – Time Management operations team. • Exposure to
reporting. • Innovation & Problem solving Recon Platforms
• Change management (such as TLM)

Client Processing
Manager, Client Processing - Grade J – Job Code - 70602
4-5 years of total work experience is preferred with at least 0-1 years in management. Experience in brokerage
Experience
processing is preferred. Applicable local/regional licenses or certifications as required by the business.
• Manages day-to-day processing activities ensuring quality and timeliness of all work produced and delivered. Understands and
implements processes and may provide recommendations to increase efficiencies.
Competencies
• Manages the daily transactional workflow within the • Oversees Client Processing • Supervises a small Client • Non-Core
team and aligns team resources accordingly to to ensure transactions are Processing team.
complete the daily tasks. Identifies areas requiring handled correctly and timely.
analysis of operations and resolution for more efficient Utilizes MIS reporting to
operations. Oversees Client Processing to ensure ensure correct and timely
transactions are handled correctly and timely. Utilizes processing.
MIS reporting to ensure correct and timely processing.

Client Processing
Specialist, Client Processing - Grade J – Job Code - 70603
Bachelor’s degree or the equivalent combination of education and experience is required. Advanced/graduate degree
Qualification
preferred.
Experience
• Enhance the reporting framework by optimum use of database and reporting tool to support business decisions
• Data scrubbing and cleansing to ensure quality in database
• Assess for gaps and relevance | support restructuring of existing reports; enhance | create | realign in the visualization tool
• Identify and create dynamic reports.
• Contextual observations and analysis comments
• Correlate interdependent metrics to identify, highlight and predict trends
• Timely and accurate reporting of MI
• Escalate any data discrepancies identified
• Understand the metrics being tracked and analyzed. (To obtain basic understanding of the business reasons for the metrics/nos.)
• Global TA structure – Support and Execution as per assigned timelines
• Contribute towards assigned projects
• Assist in review of Access Management certification/audits, timely and accurately
Competencies
• Assists in communicating needs and issues with internal • Solves complex problems based • May be responsible • Non-Core
and external clients. Participates in innovative product on an understanding and for allocating and
development, product enhancement, and system testing to knowledge of the intricacies of the checking work of
ensure that products continue to accurately and efficiently system. Uses in-depth area other team members.
process high value transactions. Solves complex problems knowledge to apply ingenuity and May be responsible
based on an understanding and knowledge of the creativity to common repeat for specific
intricacies of the system. Uses in-depth area knowledge to problems and determines more supervisory review,
apply ingenuity and creativity to common repeat problems permanent resolutions. training and approval
and determines more permanent resolutions. actions.

UAT
Test Program Manager, Business Technology Liaison - Grade K - 70164
• Manages initiatives to analyze complex business problems to be solved with improved systems, providing enhancements and
recommendations as needed. Tailors standard procedures and policies when selecting methods, techniques and evaluation criteria for
obtaining results.
• Provides technical expertise in identifying, evaluating and developing systems and procedures that are cost-effective and meet user
requirements.
• Works with business areas to identify opportunities for technical improvements.
• Manages human capital resources and develops and monitors project plans and budgets. Responsible for estimation processes for
projects.
Competencies
Manages initiatives to analyze complex Provides technical expertise in Manages human capital Recruits, directs, motivates
business problems to be solved with identifying, evaluating and developing resources and develops and develops staff,
improved systems, providing systems and procedures that are cost- and monitors project maximizing their individual
enhancements and recommendations effective and meet user requirements. plans and budgets. contribution, their
as needed. Tailors standard procedures - Works with business areas to identify Responsible for professional growth and their
and policies when selecting methods, opportunities for technical improvements. estimation processes ability to function effectively
techniques and evaluation criteria for for projects. with their colleagues as a
obtaining results. team.


Lead Manager, Investor Services Operations - Grade K – Job Code - 70516
Qualification
7-10 years of total work experience with at least 1-3 years of management experience preferred. Experience in
Experience
transfer agency operations preferred.
• Develop the TA India Operation such that it meets or exceeds expectations from a financial results perspective.
• Develop and drive continuing re-engineering programs to maximize the efficiency, effectiveness and productivity of the operational
areas
• Accountable for developing TA India Operation such that it measurably meets or exceeds expectations of its staff, from an employee
relations perspective – optimized retention, optimized job satisfaction, maintain employee engagement survey result for the process.
• Ensure the quality of the day-to-day service equals or betters the performance targets as defined in the service level agreements
(SLA’s) in place for each client.
• Ensure that business risks are identified and reported and that an appropriate mitigation strategy is adhered to
• Ensure that teams are motivated and encouraged to perform their best and prepare career development plans for the team.
• Accountable for implementation and management of BNYMellon’s Performance Management Program and associated development
planning initiatives, across TA India operations.
• Establishment and maintenance of systems and controls as are appropriate to the business
• Regular management reporting to the Head of Operations.
Competencies
• Manages relationships with a • Strong verbal and written • Manages multiple transfer agency operations • Proficiency in MS
broad set of clients and communication skills teams. Work is primarily accomplished Office (excel in
resolves any unique • Email and Telephone Etiquettes through subordinate managers. particular)
escalated issues related to • Analysis Skills • Responsible for effective leadership and
fund transactions, • Prioritization – Time Management development of team members. Recruits,
accounting, and reporting. • Innovation & Problem solving directs, motivates and develops staff,
• Change management maximizing their individual contribution, their
• Interpersonal Skills professional growth and their ability to
• Timely escalations function effectively with their colleagues as a
team.

Client Processing
Lead Manager, Client Processing - Grade K – Job Code - 70601
5-7 years of total work experience is preferred with at least 0-1 years in management. Experience in brokerage processing is
Experience
• Develop the TA India Operation such that it meets or exceeds expectations from a financial results perspective.
• Develop and drive continuing re-engineering programs to maximize the efficiency, effectiveness and productivity of the operational areas
• Accountable for developing TA India Operation such that it measurably meets or exceeds expectations of its staff, from an employee relations
perspective – optimized retention, optimized job satisfaction, maintain employee engagement survey result for the process.
• Ensure the quality of the day-to-day service equals or betters the performance targets as defined in the service level agreements (SLA’s) in
place for each client.
• Ensure that business risks are identified and reported and that an appropriate mitigation strategy is adhered to
• Ensure that teams are motivated and encouraged to perform their best and prepare career development plans for the team.
• Accountable for implementation and management of BNYMellon’s Performance Management Program and associated development planning
initiatives, across TA India operations.
• Establishment and maintenance of systems and controls as are appropriate to the business
• Regular management reporting to the Head of Operations
Competencies
• Manages a small to medium Client • Ensures the volume of work • Manages a Client Processing team. • Proficiency in MS
Processing team that handles any/all produced meets product/service • Recruits, directs, motivates & develops Office (Excel &
aspects of client accounts, including standards and exceeds quality staff, maximizing their individual PowerPoint in
solicitation, inquiries, transactional standards and is properly contribution, professional development & particular)
processing and problem resolution. reviewed and documented. ability to function effectively with their
• Manages the daily transactional • Provides input into departmental colleagues as a team.
workflow within the team and aligns budgets and planning. May • Oversees Client Processing to ensure
team resources accordingly to develop business plan for transactions are handled correctly and
complete the daily tasks through other team/group operations. timely. Utilizes MIS reporting to ensure
managers or professionals. correct and timely processing.

EMEA Transfer Agency

Click here for
Learning Pathway
EMEA TRANSFER AGENCY (TA) Overview
EMEA Transfer Agency Services facilitates outsourcing the back office administration and recordkeeping
activities for asset managers’ investment products and services.
Administration and operational activities including:

• Client Processing :
– Transaction Processing for Process subscription, redemption, switches and transfer transactions for investors via various
means such as post, fax, phone, electronic messaging or other industry trading platforms.
– Reconciliations & Cash Management : Perform bank account reconciliation, monitoring debtors and creditors, payment
of redemption proceeds, receipting and allocation of proceeds, custodian/net fund transfers and monthly stock
reconciliation with custody books.
• Investor Servicing: Investor Servicing deals with investor requests such as Change of Name, Change of Address, Change of
Bank Mandates, Stock Transfers, Re-Registrations, Death notifications, Power of Attorney and Broker Administration. Once
these requests are completed, the clients are notified through correspondence. Investor Servicing also works on Regulatory
reporting for clients (FATCA - The Foreign Account Tax Compliance Act and CRS – Common Reporting Standard) and
periodic dividend distribution processing.
• Accounting & Reporting: Preparation of monthly financial statements for the management companies.

EMEA TA - Career Matrix

Investor Srvc Client
Ops (K) (PM) Processing (K)
(PM Role)
Manager, Specialist, Client Manager, Client Manager,

Investor Srvcs Processing (J) Processing (J) Investor Srvcs
Ops (J) (PM) (IC Role) (PM Role) Ops (J) (PM)
Asst. Manager, Lead Analyst, Lead Analyst, Team Lead Client

Investor Srvcs Client Investor Services Processing (I)
Ops (I) (PM) Processing (I) Ops (I) (IC Role) (Support)
Job Complexity
(IC Role) Sr. Analyst,

Lead Rep., Lead Rep., Investor Srvcs
Senior Analyst, Investor Client
Lead Rep., Ops (H) (IC)
Client Processing Services Ops Processing (H)
Investor Srvcs
(H) (IC Role) (H) (Support) (Support)
Ops (H)
(Support)
Sr. Rep, Investor Sr. Rep, Client
Sr. Rep, Investor Analyst, Client
Services Ops G) Processing (G)
Services Ops Processing (G)
(Support) (Support)
(G) (Support) (IC)
Inter. Rep,
Inter. Rep, Inter. Rep, Client
Investor
Investor Processing (F)
Services Ops
Services Ops (Support)
(F) (Support)
(F) (Support)
Rep. Investor Rep. Client
Rep. Invest Services Ops (E) Processing (E)
Services Ops (E) (Support) (Support)
(Support)
Investor Operations Reconciliations Client Accounting & Existing Roles In India
Lege
nd
Servicing Support Processing Reporting

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Functional

Cross


EMEA TA Job Code Family

70605 Senior Analyst, Client Processing Individual Contributor
70604 Lead Analyst, Client Processing Individual Contributor

70521 Senior Analyst, Investor Services Operations Individual Contributor
70520 Lead Analyst, Investor Services Operations Individual Contributor
70519 Specialist, Investor Services Operations Individual Contributor
70524 Representative, Investor Services Operations Support

70523 Intermediate Representative, Investor Services Operations Support
70522 Senior Representative, Investor Services Operations Support
70663 Lead Representative, Investor Services Operations Support
70518 Assistant Manager, Investor Services Operations Management
70517 Manager, Investor Services Operations Management
70516 Lead Manager, Investor Services Operations Management
70515 Group Manager, Investor Services Operations Management

Growth Matrix :
Intermediate
Representative,
Analyst, Client
Investor
Processing
Services
(G – IC Role)
Operations
( F – Support)
Representative, Client
Reconciliations Investor Services
Ops Processing
( E – Support) ( E – Support)
( E – Support)

EMEA TA – Cross Functional Career Matrix

Instructions
AIS - Investor Services SDM - Security Master File
(Recon) Reconciliation (CD0) - US & EMEA Processes under EMEA TA
CT & CT Analytics -DLM (Client
AIS - Recon MOO - Reconciliation Processes across functions
Client Activation -Account Activation Billing-Account Setup HedgeMark-Hedge Fund - Holding
Reconciliation
further details
Services
Click on “EMEA TA” in cross-

Investor Services Reconciliation back to this page
GIA - GIA BD (Transaction Client

Processing) Processing
Operations
Support
IVC, IPG, Settlements – IPG
Accounting &
Reporting DSD –Reporting/Routing/Access
Control
IVC, IPG, Settlements – CIBC

(CDO)
Treasury Services- Cash Operations

USTA - Sub Accounting
MOCSD -Trade Processing

USTA - Reg Ops & OPD
DSD – Reporting/Routing/Access
Control

EMEA-TA Rep., Investor Services Ops/Client Processing – Grade E (Support track)

Qualification Bachelor’s degree or equivalent combination of education, preferably a B.Com.
0-1 years of total work experience on financial industry support preferred. Prior Transfer Agency experience
Experience
preferred.
Role Summary: Completes transfer agency operations support activities for clients of medium complexity. Reviews work of
more junior colleagues.
Competencies
• Basic Industry Knowledge (Mutual Funds) • Strong verbal and • Problem Solving - uses previous • Good Knowledge in
• Completing trades processing, settlements, written communication experience and judgment to MS office – Excel,
reconciliations and more complex registration skills handle more complex issues. Word experienced
• processing in accordance with procedure and • Client Orientation/ • Nature & Area of Impact - desired
as per process KPI's Focus position will have impact from a
• Complete all BKU-Mandate Training and apply • Email and Telephone client and compliance standpoint
learning in day to day work Etiquettes in terms of processing quality
• Understand/ Identify/Escalate all Process/Non- • Analytical Skills levels.
Process issues to Senior Representative • Prioritization – Time • Interactions / Interpersonal Skills
• Understanding of specific client’s Gain/Loss Management - articulate processing issues to
policy and procedure • Innovation & Problem line management in form of oral
• Adhere to all Regulatory and Company policies solving or written communication
and procedures. • Timely escalations
• Awareness about multiple financial instruments
• Business Expertise - understanding of the
procedures and tasks of the Transaction
Processing world and how the area interacts
with other internal / external clients.

EMEA-TA Inter Rep., Investor Services Ops/Client Processing – Grade F (Support track)
2 - 3 years of total work experience preferred; experience in financial industry support preferred. Prior
Experience
Transfer Agency experience preferred.
Role Summary: Completes transfer agency operations support activities for clients of medium to high complexity. Serves as
team lead in support of day-to-day operations, providing work direction and technical assistance on complex matters.
Competencies
• Accurate processing and maintenance and • Strong verbal and • Problem Solving - uses • Good Knowledge in
documentation for the funds registered written communication previous experience MS office – Excel,
• Completing trades processing, settlements, skills and judgment to handle Word desired
reconciliations and more complex registration • Client Orientation/ more complex issues. • Exposure to
processing in accordance with procedure and as Focus • Nature & Area of Accounting
per process KPI's • Email and Telephone Impact - position will Platforms (such as
• Understand/ Identify/Escalate all Process/Non- Etiquettes have impact from a TLM for
Process issues to Senior Representative • Analytical Skills client and compliance Reconciliations)
• Understanding of specific client’s Gain/Loss policy • Prioritization – Time standpoint in terms of
and procedure Management processing quality
• Adhere to all Regulatory and Company policies • Innovation & Problem levels.
and procedures. solving • Interactions /
• Awareness about multiple financial instruments • Timely escalations Interpersonal Skills -
• Business Expertise - understanding of the articulate processing
procedures and tasks of the Transaction issues to line
Processing world and how the area interacts with management in form of
other internal / external clients. oral or written
communication

EMEA-TA Senior Rep., Investor Services Ops/Client Processing (G) /
Lead Rep., Investor Services Ops /Client Processing (H) (Support track)
Qualification Bachelor’s degree or equivalent combination of education, preferably a BCom.

5 -7 years of total work experience preferred; experience in financial industry support preferred. Prior
Experience
Role Summary: Completes transfer agency operations support activities for clients of high complexity. Serves as lead for one
or more teams in support of day-to-day operations, providing work direction and technical assistance on complex matters..
Competencies
• Accurate processing and maintenance and • Strong verbal and • Problem Solving - uses • Good Knowledge in
documentation for the funds registered written previous experience and MS office – Excel,
• Completing trades processing, settlements, communication judgment to handle more Word experience
reconciliations and more complex registration skills complex issues. Desired
processing in accordance with procedure and as • Client Orientation/ • Nature & Area of Impact - • Exposure to
per process KPI's Focus position will have impact Accounting
• Understand/ Identify/Escalate all Process/Non- • Email and from a client and Platforms (such as
Process issues to Senior Representative Telephone compliance standpoint in TLM for
• Understanding of specific client’s Gain/Loss policy Etiquettes terms of processing Reconciliations)
and procedure • Analytical Skills quality levels.
• Adhere to all Regulatory and Company policies • Prioritization – Time • Interactions /
and procedures. Management Interpersonal Skills –
• Awareness about multiple financial instruments • Innovation & articulate processing
• Business Expertise - understanding of the Problem solving issues to line
procedures and tasks of the Transaction • Timely escalations management in form of
Processing world and how the area interacts with oral or written
other internal / external clients. communication
Note: This role is captured by BNY Mellon's Training and Competence (TC) scheme which require you to attain competence in the role within 24 months and maintain competence thereafter.
You must comply with the Company's policies and procedures in place to ensure compliance with such requirements

EMEA-TA Analyst, Client Processing - Grade G (Support track)

5 -7 years of total work experience preferred; experience in financial industry support preferred. Prior
Experience
Role Summary: Completes transfer agency operations support activities for clients of high complexity. Serves as lead for one
or more teams in support of day-to-day operations, providing work direction and technical assistance on complex matters..
Competencies
• Accurate processing and maintenance and • Strong verbal and • Problem Solving - uses •Good Knowledge in MS
documentation for the funds registered written previous experience and office
• Completing trades processing, settlements, communication judgment to handle more – Excel, Word experience
reconciliations and more complex registration skills complex issues. desired
processing in accordance with procedure and as • Client Orientation/ • Nature & Area of Impact •Exposure to Accounting
per process KPI's Focus - position will have Platforms (such as TLM
• Understand/ Identify/Escalate all Process/Non- • Email and impact from a client and for Reconciliations)
Process issues to Senior Representative Telephone compliance standpoint in
• Understanding of specific client’s Gain/Loss Etiquettes terms of processing
policy and procedure • Analytical Skills quality levels.
• Adhere to all Regulatory and Company policies • Prioritization – Time • Interactions /
and procedures. Management Interpersonal Skills –
• Awareness about multiple financial instruments • Innovation & articulate processing
• Business Expertise - understanding of the Problem solving issues to line
procedures and tasks of the Transaction • Timely escalations management in form of
Processing world and how the area interacts oral or written
with other internal / external clients. communication

EMEA-TA Sr. Analyst, Investor Services Ops
(Accounting & Reporting)(Grade H) (IC track)
Qualification Bachelor’s degree (Commerce preferred)/ Professional qualification (CA/CWA) is preferred.

Experience 1-3 years of total work experience preferred; experience in reporting / transfer agency operations preferred.
Role Summary: Performs complex analytical and reporting services for transfer agency operations of medium to high
complexity. Serves as team lead in support of day-to-day operations, providing work direction and technical assistance on
complex matters.
Competencies

• Basics of Accounting • Strong verbal and written • Ensures Accountability • Good Knowledge in MS
• Basic industry knowledge (mutual funds) communication skills and Ownership office – Excel, Word
• Understanding of financial statements • Analytical Skills • Drives Results experienced desired
• Conducts process reviews & procedures • Prioritization – Time • Developing Partnerships
to reduce risk and enhance efficiency. Management
Apply key controls/processes to identify • Innovation & Problem
potential risk. solving
**Refer to appendix for steps to use hyperlink

EMEA TA Lead Analyst, Client Processing – Grade I (Support track)
Experience 4-5 years of total work experience. Experience in transfer agency operations preferred.
Role Summary: Provides complex analytics and reporting services, working to improve and automate Client Processing
systems.
Competencies
• Conducts, analyzes, and reports on transfer agency operations • Strong verbal and • People • Good
activities for clients of moderate complexity. written management Knowledge in
• Leads client onboarding and internal conversions. Conducts communication skill. - Work MS office –
key metric reporting. Consults and provides oversight to daily skills • allocation, Leave Excel, Word
Transfer Agency processes. • Email and planning, backup experienced
• Assists management in the day to day operations of the Telephone • planning, & desired
business resolving escalated issues. Etiquettes capacity planning
• Conducts process reviews & procedures to reduce risk and • Analytical Skills etc.
enhance efficiency and makes recommendations for their • Prioritization – • Ensures
• modification to improve productivity. Apply key Time Management Accountability
controls/processes to identify potential risk. • Innovation & and Ownership
• Leads project management of an initiative and/or onboarding Problem solving • Drives Results
new clients. • Change • Developing
• Develops relationships with technology and line of business management partnership with
teams as Subject Matter Experts to develop business • Interpersonal Skills clients and
requirements and test development. Analyzes business data to • Timely escalations stakeholders.
identify trends to mitigate risk or enhance client relationships.
Identifies new products/services to increase revenue.
• Adhere to all Regulatory and Company policies and
procedures.

EMEA TA Manager, Investor Services Ops /Client Processing – Grade J (PM track)

5-7 years of total work experience with at least 0-1 years of management experience preferred. Experience
Experience
in transfer agency operations preferred.
Role Summary: Manages a large team or multiple small teams that are responsible for conducting transfer agency operations
activities on behalf of assigned clients. Manages the performance of teams and sets area priorities.
Competencies
• Develop the EMEA TA India Operation such that it delivers better • Strong verbal and written • People management skill. - Work • Proficiency in MS Office
client experience. communication skills allocation, Leave planning, backup (Excel, Word and
• Continue to drive re-engineering programmes to maximize the • Email and Telephone planning, & capacity planning etc. PowerPoint)
efficiency, effectiveness and productivity of the operational areas Etiquettes • Ensures Accountability - Takes • Exposure to Accounting
• Ensure satisfactory levels of employee engagement to achieve • Analytical Skills ownership of the work Platforms (such as
optimized attendance, optimized retention and optimized job • Prioritization – Time • Drives Results TLM)
satisfaction Management • Developing partnership with clients • Exposure to changes in
• Ensure the quality of the day-to-day service equals or betters the • Innovation & Problem solving and stakeholders. business related
performance targets as defined in the service level agreements • Change management • Relationship Building & Collaboration applications and
(SLA’s) in place for each client • Interpersonal Skills • Business Change management systems
• Ensure that business risks are identified and reported and that an • Timely escalations • Builds Effective Teams- Develops
appropriate mitigation strategy is adhered to • Expectation Management Talent by Assessing & Addressing
• Accountable for implementation and management of BNY training needs for the team.
Mellon’s Performance Management Programme and associated • Build stronger control environment
development planning initiatives, across EMEA TA India • Managing Managers
operations. • Diversity & Inclusion
• Responsible for working closely with BNY Mellon India’s HR team • Drive Innovation
in making recommendations in respect of compensation and other
rewards matters, employee relations issues and learning and
development requirements, in accordance with BNY Mellon’s
parameters in each of these areas.
• Establishment and maintenance of systems and controls as are
appropriate to the business
• Regular management reporting to the Head of Operations.
Note: This role is captured by BNY Mellon's Training and Competence (TC) scheme which require you to attain competence in the role within 24 months and maintain competence
thereafter. You must comply with the Company's policies and procedures in place to ensure compliance with such requirements
**Refer to appendix for steps to use hyperlink

EMEA TA Manager, Investor Services Ops /Client Processing – Grade J (PM track)
Qualification Bachelor’s degree (Commerce preferred)/ Professional qualification (CA/CWA) is preferred.

Experience
Role Summary: Manages a large team or multiple small teams that are responsible for conducting transfer agency
operations activities on behalf of assigned clients. Manages the performance of teams and sets area priorities.
Competencies
• Basics of Accounting • Strong verbal and • People management skill. - Work • Proficiency in MS Office
• Basic industry knowledge (mutual funds) written allocation, Leave planning, backup (Excel, Word and
• Understanding of financial statements communication planning, & capacity planning etc. PowerPoint)
• Ensure satisfactory levels of employee engagement to skills • Ensures Accountability - Takes • Exposure to Accounting
achieve optimized attendance, optimized retention and • Email and ownership of the work Platforms (such as TLM)
optimized job satisfaction Telephone • Drives Results • Exposure to changes in
• Ensure the quality of the day-to-day service equals or Etiquettes • Developing partnership with clients business related
betters the performance targets as defined in the service • Analytical Skills and stakeholders. applications and systems
level agreements (SLA’s) in place for each client • Prioritization – Time • Relationship Building &
• Ensure that business risks are identified and reported and Management Collaboration
that an appropriate mitigation strategy is adhered to • Innovation & • Business Change management
• Accountable for implementation and management of BNY Problem solving • Builds Effective Teams- Develops
Mellon’s Performance Management Programme and • Change Talent by Assessing & Addressing
associated development planning initiatives, across EMEA management training needs for the team.
TA India operations. • Interpersonal Skills • Build stronger control environment
• Establishment and maintenance of systems and controls as • Timely escalations • Managing Managers
are appropriate to the business • Expectation • Diversity & Inclusion
• Regular management reporting to the Head of Operations.. Management • Drive Innovation
Note: This role is captured by BNY Mellon's Training and Competence (TC) scheme which require you to attain competence in the role within 24 months and maintain competence
thereafter. You must comply with the Company's policies and procedures in place to ensure compliance with such requirements

EMEA TA Lead Manager, Investor Services Ops /Client Processing –Grade K (PM track)

Experience
Role Summary: Manages a large team or multiple small teams that are responsible for conducting transfer agency operations
activities on behalf of assigned clients. Manages the performance of teams and sets area priorities.
Competencies
• Develop the EMEA TA India Operation such that it delivers better client • Strong verbal and written • People management skill. - Work • Non Core
experience. communication skills allocation, Leave planning, backup • Proficiency in MS
• Continue to drive re-engineering programmes to maximize the efficiency, • Email and Telephone planning, & capacity planning etc. Office (Excel, Word
effectiveness and productivity of the operational areas Etiquettes • Ensures Accountability - Takes and PowerPoint)
• Ensure satisfactory levels of employee engagement to achieve optimized • Analytical Skills ownership of the work
attendance, optimized retention and optimized job satisfaction • Prioritization – Time • Drives Results
• Ensure the quality of the day-to-day service equals or betters the Management • Developing partnership with clients
performance targets as defined in the service level agreements (SLA’s) • Innovation & Problem and stakeholders.
in place for each client solving • Relationship Building &
• Ensure that business risks are identified and reported and that an • Change management Collaboration
appropriate mitigation strategy is adhered to • Interpersonal Skills • Business Change management
• Accountable for implementation and management of BNY Mellon’s • Timely escalations • Builds Effective Teams- Develops
Performance Management Programme and associated development • Expectation Talent by Assessing & Addressing
planning initiatives, across EMEA Management training needs for the team.
• TA India operations. • Build stronger control environment
• Responsible for working closely with BNY Mellon India’s • Managing Managers
• HR team in making recommendations in respect of compensation and • Diversity & Inclusion
other rewards matters, employee relations issues and learning and • Drive Innovation
development requirements, in accordance with BNY Mellon’s parameters • Manages multiple transfer agency
in each of these areas. operations teams. Work is primarily
• Establishment and maintenance of systems and controls accomplished through subordinate
• as are appropriate to the business managers.
• Regular management reporting to the Head of Operations. • Recruitment, driving employee
engagement, team motivation

Alternative Investment Services (AIS)

Click here for
Learning Pathway
Alternative Investment Services (AIS) - Business Overview
In Alternative Investment Services (AIS), our services are comprehensive and cater to single manager hedge funds, fund of
hedge funds, real estate and private equity funds. The Alternative Investment Services team breaks down its chief product
offerings into five major Business Services categories: (1) Hedge Funds, (2) Private Equity Funds, (3) Real Estate (4) Middle
Office and (5) Fund Order Processing.
The above five major Business Services are directly supported by a number of dedicated AIS functional teams including:
Investor Services (Transfer Agency), Single Manager Accounting, Fund of Funds Accounting, Private Equity Accounting, Real
Estate Accounting, Fund of Hedge Funds Custody, Trade Capture, Reconciliation, Financial Reporting, Regulatory Reporting,
FATCA & AEOI Reporting, and Middle Office Services
Transfer Agency/Investor Services
For clients contracting with BNYM AIS to provide investor services as part of an administration services agreement, the Transfer Agency
Team (“TA Team”) is responsible for maintaining investor accounts and processing of investor trade activity for hedge fund, fund of hedge
funds, private equity and real estate fund clients. This includes processing subscriptions, redemptions, transfers, and the money
movements associated with these transactions. The TA Team also maintains the fund’s shareholder register which includes maintaining
investor and related party demographic / contact information. The TA Team provides other investor related services such as reporting
(e.g., statements and contract notes) and responding to investor queries.
AIS Reconciliation
AIS Reconciliation Team (“Recon Team”) organizes, prepares, and produces cash and position reconciliations for AIS clients contracted
with BNYM AIS for administration services. The group is comprised of teams located in New Jersey, Chennai and Pune, India, and
Wroclaw, Poland. Oversight is performed by teams in the US and Dublin, as applicable. The Recon Team verifies that the appropriate
files and feeds are in place so that timely reconciliations can be produced across multiple product types. The cash and positions held in
client portfolios go through a reconciliation process that includes break identification and resolution between AIS Fund Accounting
platforms and other counterparties. The completion status of reconciliations is monitored by management.

Alternative Investment Services (AIS) -Business Overview
Fund Accounting
In connection with providing administration services, the AIS Accounting Team is responsible for both portfolio accounting and NAV
accounting, which includes fee calculations and investor allocations. The AIS Accounting Team serves as an aggregator of data that is
used to compile the fund’s Net Asset Value (NAV) on a pre-determined liquidity period (i.e. daily, monthly, quarterly).
The sequential components toward the compilation/calculation of the NAV are as follows:
 Fund Share Activity: This mainly involves processing of Investor’s subscription & Redemption in Geneva based on the input given
by Transfer Agency Team.
 Trade Processing: TCEP Team process the trade files (blotters) are received from the Investment Manager. Fund Accountant
reconciles Trade information between Trade blotter and Advent Geneva and also check the price variance is fall within the
threshold.
 Cash & Position Reconciliation: Cash & Position reconciliation is the process of ensuring the cash & Holdings reflected in Geneva
are in line with the physical cash & Security held by the fund’s Prime Broker/Custodian/Sub-Custodian.
 Similar way Fund Accounting Team process Forward reconciliation, Dividend reconciliation, Bank Interest reconciliation and
booking of any manual entries to Geneva.
 Corporate Action: Once corporate actions have been processed on Geneva by the SDM Team, a proof sheet is prepared and
verification process will be performed to ensure all complex corporate actions have been processed correctly in accordance with
client's instructions by Fund Accounting Team.
 Pricing: After receiving notification from AIS Market Data Group (Email) that fund is priced, Fund Accounting Team must check for
any un-priced or un-validated securities by running Missing Prices Report.
 Performance Check: Performance check or Quality control (QC) is a set of procedures intended to ensure that a performed task
adheres to a defined set of quality criteria or meets the requirements of the client.
 NAV Dissemination: The portfolio is locked down in the accounting system Geneva and the portfolio’s profit and loss is ported over
to Transfer Agency system so that fund level fees may be calculated. Fees and portfolio profit and loss are then allocated to the
fund’s investors and reviewed by the accountant and manager. Packages from the Transfer Agency systems are delivered to the
client for review (in many instances a sign-off is obtained). The Accounting Team notifies the TA Team when clients have
completed their review so that they may run the investor statements for dissemination to the fund’s investors. The process begins
anew for the next liquidity period.

Alternative Investment Services (AIS) - Career Matrix
Legen
d
Lead Mgr, Client

Processing(K)
Lead Manager (PM Role)
(PM Role) (K) Mgr, Client
Manager Processing (J)
(PM Role) (PM Role)
Lead Mgr, Client
Processing(K) (J)
Lead Manager, (PM Role) Lead Analyst
Recon (K) (PM Role)
Mgr, Client
(PM Role) (I) Sr Rep, Client
Processing (J)
Job Complexity
Manager. Recon (PM Role) Lead Analyst Processing (G)

(J) (IC Role)
Team Lead,
(PM Role) (I)
Client
Processing(I) Lead
Team Lead Representative
Recon (I) Sr Rep, Client (H)
Processing (G) Senior
Lead Rep. Representative
Recon (G) (G)
Inter Rep., Client
Processing(F) Intermediate
Inter. Rep. Representative
Recon (F) (F)
Rep., Client
Processing (E)
Rep, Recon
(E)
Recon Investor Fund Accounting Investor

Services Services

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Functional

Cross


AIS Global Job Codes at a glance :
Investor Services
AIS Recon
70566 Manager, Reconciliation Management
70565 Lead Manager, Reconciliation Management
Fund Accounting
70513 Intermediate Representative, Fund/Client Accounting Support
70512 Senior Representative, Fund/Client Accounting Support
70511 Lead Representative, Fund/Client Accounting Support
70505 Lead Manager, Fund/Client Accounting Management

Growth Matrix
Sr Rep, Client
Processing
Senior Rep. (G)
Lead Rep.
(G) AIS Investor Recon (G)
AIS Services
AIS
Fund Reconciliation
Accounting
Inter Rep., Inter. Rep.

Inter Rep. (F) Client Recon
(F)
AIS Processing (F) AIS
Fund
Accounting AIS Investor Reconciliation
Services

AIS – Cross Functional Career Matrix

Instructions
Processes under AIS

CT & CT Analytics - DLM/QSR CT & CT Analytics - Cash EMEA TA - Investor Services
EMEA TA – Reconciliation
Reconciliation
EMEA TA - Client Processing Click on each process for
further details
Click on “AIS” in cross-functional
Navigation to come back to this
Investor page
Recon
Services

Services
Fund
Accounting
Portfolio Services
Fund Accounting - Mutual

/Structured Fund Accounting &
Admin
Fund Accounting - Expense

Processing & Budgeting

AIS Investor Services

AIS Investor Services - Grade E (Support track)

Role Summary
The individual will be responsible for performing routine operational tasks like Dealing/Financial, Registration & Treasury. He /
She will executes all correspondent requisites in a timely and accurate manner with an understanding of the underlying
business and specific client needs.
He will responsible to responds to client inquiries, escalating non-standard issues to a Team Lead.
Investigates and corrects errors in company records and client accounts. All the task deadlines to be followed as agreed in SLA
Competencies
• Under direct supervision, performs routine • Strong verbal and • No direct reports. • Proficiency in MS Office
operational tasks in a product or functional written communication (excel in particular)
area, processing updates to client accounts skills • Exposure to Investor
or company records and ensuring that data • Client Orientation/ Focus Services Platforms
is feeding into the right system. • Email and Telephone (such as
• Enters data, keying information from Etiquettes NTAS/Investran
checks, interpreting payee information and • Analytical Skills /Praeeo/CMS)
transcribing into on-line system. Begins • Prioritization – Time
monitoring exceptions. May interact with Management
record keepers to verify that client records • Innovation & Problem
are in sync with the fund company or solving
another custodian. • Timely escalations

AIS Investor Services - Grade F (Support track)

Role Summary
The individual will be responsible for performing routine operational tasks like Dealing/Financial, Registration & Treasury and
also performing review of the items processed by other individuals.
All the task deadlines to be followed as agreed in SLA. The individual need to assist team members on resolving issues. He /
She need to make sure that accuracy and timeliness is maintained at high standard following the standard operating
procedure; exceptions investigation and sourcing to be completed
Competencies

• Performs a variety of operational tasks in a • Strong verbal and written • No direct reports • Proficiency in MS Office
product or functional area, including communication skills (excel in particular)
processing updates to client accounts or • Client Orientation/ Focus • Exposure to Investor
company records and interpreting and • Email and Telephone Etiquettes Services Platforms (such
handling exceptions. Investigates and • Prioritization – Time as NTAS/Investran
corrects errors in client accounts. Conducts Management /Praeeo/CMS)
independent analysis and policy • Timely escalations
interpretation. Responsible for • Investigates and corrects errors
reconciliations, including reconciling cash in client accounts. Conducts
breaks, position differences, and gathering independent analysis and policy
and compiling data. interpretation.

AIS Investor Services - Grade G (IC track)

Experience
Role Summary
The individual will be responsible for performing routine operational tasks like Dealing/Financial, Registration & Treasury and
also review and check work of other Client Processing Support staff and help resolve escalated issues. He / She will provide
product knowledge and technical assistance, determining when the more complex problems should be referred to a supervisor
or senior professional.
Identifies, investigates and resolves problems in client accounts or company records. Works closely with technology and
systems teams to ensure the system is efficient and incorporates any necessary risk mitigations. May be responsible for
allocating and checking work of other team members.
Competencies
• Processes account related transactions • Manages situations which may • May be • Proficiency in MS Office
per scheduled events/client authenticated require adaptation of response or responsible for (excel in particular)
direction. Following established extensive research according to allocating and • Exposure to Investor
procedures, answers inquiries, and client response. Escalates more checking work Services Platforms (such
resolves problems or issues. Manages complex situations to senior of team as NTAS/Investran
situations which may require adaptation colleagues. members. May /Praeeo/CMS)
of response or extensive research • Strong verbal and written be responsible
according to client response. Escalates communication skills for specific
more complex situations to senior • Client Orientation/ Focus supervisory
colleagues. • Email and Telephone Etiquettes review and
• Integrates area knowledge with • Prioritization – Time Management approval
understanding of industry standards and • Timely escalations actions.
practices to provide solutions to internal
and external clients.

AIS Investor Services - Grade I (PM track)

7+ years of technical and management experience preferred; experience in the securities or financial
Experience
services industry a plus. Applicable local/regional licenses or certifications as required by the business.
Role Summary
The individual will supervise/manage the day-to-day operations of a small- to medium-sized client processing support team that
handles any/all aspects of client accounts, including inquiries and problem resolution. He / She has to ensure the volume of
work produced meets product/service standards and exceeds quality standards, and is properly reviewed and documented.
He/she will have to provide details on process enhancements/improvements to technology team and execute changes into
process.
Competencies
• Manages the daily transactional • Directs, motivates and • Supervises/manages a • Proficiency in MS Office
workflow within the team and aligns develops staff, maximizing small client processing (excel in particular)
team resources accordingly to their individual contribution, team. • Exposure to Investor
complete the daily tasks. Serves as their professional growth and • May be responsible for Services Platforms (such
first line supervisor for assignment of their ability to function specific supervisory as NTAS/Investran
tasks and resolution of issues. Directs, effectively with their review and approval /Praeeo/CMS)
motivates and develops staff, colleagues as a team. actions.
maximizing their individual
contribution, their professional growth • Ensures the volume of work
and their ability to function effectively produced meets
with their colleagues as a team. product/service standards
• Ensures the volume of work produced and exceeds quality
meets product/service standards and standards, and is properly
exceeds quality standards, and is reviewed and documented.
properly reviewed and documented.

AIS Investor Services - Grade J (PM track)

8-10 years of technical and management experience preferred; experience in the securities or financial
Experience
services industry.
Role Summary
This individual will be supervising a small to medium-sized Client Processing support team that handles any/all aspects of client
accounts, including inquiries, transactional processing and problem resolution. He / She will be participating in the recruiting
process; instructs, assigns, directs and reviews the work of Client Processing analysts; prepares performance reviews and
provides ongoing feedback to staff. He / She provides input into departmental budgets and planning. May develop business
plan for team/group operations.
Competencies
• Participates in innovative • Strong verbal and written • Participates in innovative • Proficiency in MS Office
product development, product communication skills product development, product (excel in particular)
enhancement, and system • Email and Telephone enhancement, and system • Exposure to Investor
testing to ensure that Etiquettes testing to ensure that Services Platforms (such as
products continue to • Analysis Skills products continue to NTAS/Investran
accurately and efficiently • Prioritization – Time accurately and efficiently /Praeeo/CMS)
process high value Management process high value
transactions. • Innovation & Problem solving transactions. Solves complex
• Solves complex problems • Interpersonal Skills problems based on an
based on an understanding • Timely escalations understanding and
and knowledge of the • Change management knowledge of the intricacies
intricacies of the system. of the system.

AIS Investor Services - Grade J (PM track)

8-10 years of technical and management experience preferred; experience in the securities or financial
Experience
services industry.
Role Summary
This individual will be supervising a small to medium-sized Client Processing support team that handles any/all aspects of client
accounts, including inquiries, transactional processing and problem resolution. He / She will be participating in the recruiting
process; instructs, assigns, directs and reviews the work of Client Processing analysts; prepares performance reviews and
provides ongoing feedback to staff. He / She provides input into departmental budgets and planning. May develop business
plan for team/group operations. He/ She will assist in communicating needs and issues with internal and external clients.
Competencies
• Participates in innovative • Provides complex analytics • Participates in innovative • Proficiency in MS Office
product development, product and reporting services, product development, product (excel in particular)
enhancement, and system working to improve and enhancement, and system • Exposure to Investor
testing to ensure that automate Client Processing testing to ensure that Services Platforms (such as
products continue to systems. products continue to NTAS/Investran
accurately and efficiently • Deals with complex external accurately and efficiently /Praeeo/CMS)
process high value client issues (on-going client process high value
transactions. servicing for various transactions. Solves complex
• Solves complex problems programs, post sales support, problems based on an
based on an understanding resolving operational issues, understanding and
and knowledge of the and product knowledge of the intricacies
intricacies of the system. implementations). of the system.
• May allocate/coordinate work
within a team/project.

AIS Investor Services - Grade K (PM track)

Role Summary
This individual manages a small to medium Client Processing team. He / She oversees Client Processing to ensure
transactions are handled correctly and in timely manner. Utilizes MIS reporting to ensure correct and timely processing.
He / She will recruits, direct, motivate and develop staff. Will be putting efforts in maximizing their individual contribution,
professional development and ability to function effectively with their colleagues as a team.
He / She provides input into departmental budgets and planning. May develop business plan for team/group operations.
Competencies
• Manages a small to medium • Ensures the volume of • Manages a Client Processing team. • Proficiency in MS Office
Client Processing team that work produced meets (excel in particular)
handles any/all aspects of client product/service • Recruits, directs, motivates and • Exposure to Investor
accounts, including solicitation, standards and exceeds develops staff, maximizing their Services Platforms
inquiries, transactional quality standards and is individual contribution, professional (such as
processing and problem properly reviewed and development and ability to function NTAS/Investran
resolution. documented. effectively with their colleagues as a /Praeeo/CMS)
team.
• Manages the daily transactional • Provides input into
workflow within the team and departmental budgets • Oversees Client Processing to
aligns team resources and planning. May ensure transactions are handled
accordingly to complete the daily develop business plan correctly and timely. Utilizes MIS
tasks through other managers or for team/group reporting to ensure correct and timely
professionals. operations. processing.

AIS Investor Services - Grade K (PM track)

Role Summary
This individual manages a small to medium Client Processing team. He / She oversees Client Processing to ensure
transactions are handled correctly and in timely manner. Utilizes MIS reporting to ensure correct and timely processing.
He / She will recruits, direct, motivate and develop staff. Will be putting efforts in maximizing their individual contribution,
professional development and ability to function effectively with their colleagues as a team.
He / She provides input into departmental budgets and planning. May develop business plan for team/group operations. He/
She will assist in communicating needs and issues with internal and external clients.
Competencies
• Manages a small to medium • Provides complex • Manages a Client Processing team. • Proficiency in MS Office
Client Processing team that analytics and reporting (excel in particular)
handles any/all aspects of client services, working to • Recruits, directs, motivates and • Exposure to Investor
accounts, including solicitation, improve and automate develops staff, maximizing their Services Platforms
inquiries, transactional Client Processing individual contribution, professional (such as
processing and problem systems. development and ability to function NTAS/Investran
resolution. • Deals with complex effectively with their colleagues as a /Praeeo/CMS)
external client issues team.
• Manages the daily transactional (on-going client
workflow within the team and servicing for various • Oversees Client Processing to
aligns team resources programs, post sales ensure transactions are handled
accordingly to complete the daily support, resolving correctly and timely. Utilizes MIS
tasks through other managers or operational issues, and reporting to ensure correct and timely
professionals. product processing.
implementations).

AIS Reconciliation

AIS Reconciliation - Grade E (Support track)

Experience 0- 2 Years of total work experience preferred. Experience in fund accounting or reconciliation is preferred.
Role Summary
The individual will be responsible for performing daily reconciliations, deciphering basic exceptions between AIS Fund
Accounting platforms and other counterparties for securities, cash and/or derivatives; processes client accounts. Focus is on
learning the reconciliation process.
He / She interprets basic exceptions and researches why exceptions exist; enters reconciliation data and ensures proper aging.
This person will communicate simple break reports to either internal groups within the firm and possibly correspondents outside
the firm.
He / She will assist in daily, weekly and monthly reporting using an understanding of the stock record and knowledge of basic
accounting.
Competencies
• Life cycle of Recon • Strong verbal and • Proficiency in MS Office
written communication (excel in particular)
• Knowledge on asset classes skills • Exposure to
Reconciliation Platforms
• Knowledge of participants in Recon • Email and Telephone (such as TLM)
Etiquettes
• Recon Processing
Management

AIS Reconciliation - Grade F (Support track)

Experience 2-4 Years of total work experience preferred. Experience in fund accounting or reconciliation is preferred.
Role Summary
The individual will be responsible for performing daily reconciliations, deciphering basic exceptions between AIS Fund
Accounting platforms and other counterparties for securities, cash and/or derivatives; processes client accounts. Leverages
an in-depth of understanding of the business in order to assure that adjustments are made correctly.
He / She interprets basic exceptions and researches why exceptions exist; enters reconciliation data and ensures proper
aging.
This person will communicate simple break reports to either internal groups within the firm and possibly correspondents
outside the firm.
He / She will assist in daily, weekly and monthly reporting using an understanding of the stock record and knowledge of basic
accounting.
Competencies
• Life cycle of Recon • Strong verbal and • Perform Root Cause • Proficiency in MS Office
• Knowledge on assets classes written communication Analysis (excel in particular)
• Knowledge of participants in Recon skills • Shares new procedures • Exposure to
• Recon Processing • Email and Telephone • Innovation and Problem Reconciliation Platforms
Etiquettes Solving (such as TLM)
Management

AIS Reconciliation - Grade G (Support track)

Experience 4-6 Years of total work experience preferred. Experience in fund accounting or reconciliation is preferred.
Role Summary
The individual will be responsible for performing more in-depth analysis of reconciliations, deciphering complex exceptions
between systems, clients, institutions, etc. for securities, cash and/or derivatives; processes client accounts. He / She will
review work performed by more junior levels. He / She will identify complex exceptions, performing root-cause analysis on why
exceptions exist.
Will do trend analysis, enters reconciliation data and ensures proper aging. He / She will assist more junior level support staff in
identifying more complex differences. May review work completed by junior support staff. Escalates any unidentifiable
differences to more experienced support staff.
Competencies
• Life cycle of Recon • Strong verbal and written • Perform Root Cause • Proficiency in MS Office
• Knowledge on assets classes communication skills Analysis (excel in particular)
• Knowledge of participants in Recon • Email and Telephone • Shares new procedures • Exposure to
• Recon Processing Etiquettes • Innovation and Problem Reconciliation Platforms
• Understanding of root cause of • Prioritization – Time Solving (such as TLM)
exceptions Management • Work Allocation - load
• Interpersonal Skills balancing
• Decision Making • Innovation
• Problem Solving
• Adherence to follow-ups
and escalation metrics
• Process Trainings

AIS Reconciliation - Grade I (PM track)

Experience 6-8 years of total work experience preferred. Experience in fund accounting or reconciliation is preferred.
Role Summary
The individual supervises/manages the day-to-day operations of a small- to medium-sized reconciliation team that performs
daily reconciliations, deciphering basic exceptions between AIS Fund Accounting platforms and other counterparties for
securities, cash and/or derivatives; processes client accounts. He / She has to ensure the volume of work produced meets
product/service standards and exceeds quality standards, and is properly reviewed and documented. He/she will have to
provide details on process enhancements/
improvements to technology team and execute changes into process.
Competencies
• Life cycle of Recon • Strong verbal and written • Perform Root Cause • Proficiency in MS Office
• Knowledge on assets classes communication skills Analysis (excel in particular)
• Knowledge of participants in • Email and Telephone Etiquettes • Shares new procedures • Exposure to
Recon • Prioritization – Time Management • Innovation and Problem Reconciliation Platforms
• Recon Processing • Interpersonal Skills Solving (such as TLM)
• Understanding of root cause of • Decision Making • Work Allocation - load
exceptions • Problem Solving balancing
• Adherence to follow-ups and • Innovation
escalation metrics

AIS Reconciliation - Grade J (PM track)

Role Summary
The individual will lead a small team within the Reconciliation function responsible for performing in-depth analysis of
reconciliations. He / She will look into complex exceptions and performs root-cause analysis as to why the exception exists.
Will act as the first level of escalation for complex or serious issues and also analyze operational needs and contribute to the
development and implementation of solutions.
This person leverages a strong understanding of tools to identify breaks. This person will be preparing and analyzing team
reporting of daily, weekly and monthly suspense and depository reconciliations. Will be participating in the recruiting process.
Prepares performance reviews and provides ongoing feedback to staff.
Competencies
• Life cycle of Recon • Strong verbal and written • Perform Root Cause Analysis • Proficiency in MS
• Knowledge on assets classes communication skills • Shares new procedures Office (excel in
• Knowledge of participants in • Email and Telephone • Innovation and Problem Solving particular)
Recon Etiquettes • Work Allocation - load balancing • Exposure to
• Recon Processing, confirmation, • Prioritization – Time • Conflict Management Reconciliation
Settlements Management • Leaves and Capacity Planning Platforms (such as
• Understanding of Markets • Interpersonal Skills • Accountability - Onus TLM)
deadlines • Decision Making • Executor
• Broker-Dealer operations • Problem Solving • Negotiation
• Collateral processing & • Adherence to follow-ups and • Presentation
Management escalation metrics • Strategist
• Portfolio/fund classes and type • Process Trainings
• Change Management
• Transition

AIS Reconciliation - Grade K (PM track)

Role Summary
The individual will lead a medium to large team responsible for small scale projects with activities that include daily
reconciliations, identifying system issues and making adjustments correctly. He / She supports the development of procedures
and processes for the Reconciliation function within the business unit. Resolves complex or serious issues escalated by the
team.
The person will partner with supervisors and managers of other groups in the firm to assess issues and strategize
improvements. Will participate in recruitment. He / She motivates and develops staff, maximizing their individual contributions,
their professional growth and their ability to function effectively with their colleagues as a team. Prepares performance reviews
and provides ongoing feedback to staff.
Competencies
• Life cycle of Recon • Strong verbal and written • Perform Root Cause Analysis • Proficiency in MS
• Knowledge on assets classes communication skills • Shares new procedures Office (excel in
• Knowledge of participants in • Email and Telephone • Innovation and Problem Solving particular)
Recon Etiquettes • Work Allocation - load balancing • Exposure to
• Recon Processing, confirmation, • Prioritization – Time • Innovation Reconciliation
Settlements Management • Conflict Management Platforms (such as
• Understanding of Markets • Interpersonal Skills • Leaves and Capacity Planning TLM)
deadlines • Decision Making • Accountability - Onus
• Broker-Dealer operations • Problem Solving • Executor
• Collateral processing & • Adherence to follow-ups and • Negotiation
Management escalation metrics • Presentation
• Portfolio/fund classes and type • Process Trainings • Strategist
• Change Management
• Transition

AIS Fund Accounting

AIS Fund Accounting - Grade F (Support track)

Experience 1 -3 years of total work experience in Investment banking, Experience in Fund accounting is preferred.
Role Summary
• Performs a variety of accounting and net asset value (NAV) production functions (including NAV construction & validation,
NAV review, dissemination and reporting activities) for more complex assigned funds. Assists in reviewing data and resolving
intricate problems that may arise during the normal daily, weekly or monthly accounting and reporting.
• Tracks data and maintains accounting records for funds of higher complexity in accordance with department policies and
procedures. Provides requested data to team members.
• Regularly works with client staff to exchange information with respect to cash, accounting, and reporting of daily and monthly
client activities and initiatives. Communicates data needs and answers client questions.
Competencies
• Basics of Investment Banking & Fund • Strong verbal and written • No Direct reportees • Proficiency in MS
Accounting communication skills Office
• Life cycle of trade • Email and Telephone • Exposure to
• Cash and asset reconciliation Etiquettes Accounting Platforms
• Research and exception clearing, Transaction • Analysis Skills such as Geneva,
processing • Timely escalations InvestOne, Multifunds
• Income and expense related processing, & LAMP
Capstock Reconciliation • Exposure to Recon
• Trade posting Platforms such as
• Pricing of securities TLM
• Checking and validation of the Trial Balance • Exposure to
and other Reports Bloomberg and / or
• Exception clearing IDC
• Calculation of Net Asset Value

AIS Fund Accounting - Grade G (Support track)

Experience 3-5 years of total work experience in Investment banking, Experience in Fund accounting is preferred.
Role Summary
• Leads day-to-day accounting and net asset value (NAV) production functions (including NAV construction & validation, NAV review,
dissemination and reporting activities) for more complex funds. Reviews data and assists in resolving escalated problems that may
arise during the normal daily, weekly or monthly accounting and reporting.
• Tracks data and maintains accounting records for funds of higher complexity in accordance with department policies and procedures.
Assists in establishing data maintenance and summarization processes to improve team efficiency and best support the accounting
team.
• Leads team in preparing system generated reports. Coordinates review of reports and the sharing of reports with accounting teams.
Reviews work of junior team members.
• Regularly works with client staff to exchange information with respect to cash, accounting, and reporting of daily and monthly client
activities and initiatives. Communicates data needs and answers client questions.
• Assists in identifying and implementing process improvements to reduce audit and financial exposure and improve team efficiency.
Competencies
• Basics of Investment Banking & Fund Accounting • Strong verbal and written • No Direct •Proficiency in MS Office
• Life cycle of trade communication skills reportees Exposure to Accounting
• Cash and asset reconciliation • Email and Telephone Platforms such as Geneva,
• Research and exception clearing, Transaction processing Etiquettes InvestOne,Multifunds &
• Income and expense related processing, Capstock • Analysis Skills LAMP
Reconciliation • Timely escalations Exposure to Recon
• Trade posting Platforms such as TLM
• Pricing of securities Exposure to Bloomberg and
• Checking and validation of the Trial Balance and other / or IDC
Reports
• Exception clearing
• Calculation of Net Asset Value

AIS Fund Accounting - Grade H (Support track)

5-7 years of total work experience preferred; experience in Investment banking PE/Hedge/Mutual Fund
Experience
accounting operations preferred.
Role Summary
• Manages the daily accounting and net asset value (NAV) production workflow to service multiple funds. Reviews data and assists in
resolving escalated problems that may arise during the normal daily, weekly or monthly accounting and reporting.
• Supervises the tracking of fund data and maintenance of accounting records. Establishes data maintenance and summarization
processes and procedures to improve team efficiency and best support the accounting team.
• Sets standards for team's report output to be shared with accounting teams. Coordinates review of reports and the sharing of reports
with accounting teams.
• Maintains relationships with client staff. Ensures clients receive needed information in a timely manner and that all accounting support
needs are met.
• Identifies and implements process improvements to reduce audit and financial exposure and improve team efficiency.
Competencies
• Sound Accounting knowledge, • Strong verbal and written • No Direct • Proficiency in MS Office
• Life cycle of trade communication skills reportees • Exposure to Accounting
• Identification of Complex Break items and Resolution - • Email and Telephone Platforms such as Geneva,
Root cause & NAV Impact Etiquettes InvestOne, Multifunds &
• Impact & processing of entries in accounting platform • Analysis Skills LAMP
• Product knowledge & valuations of various products • Prioritization – Time • Exposure to Recon
• Basics of manual interest calculations on fixed income Management Platforms such as TLM
products • Innovation & Problem • Exposure to Bloomberg
• Understanding of security setups and security specific solving and / or IDC
nuances • Interpersonal Skills
• Portfolio Valuation & checks • Timely escalations
• Trouble shooting on issues & understanding of their NAV
impacts

AIS Fund Accounting - Grade I ( IC track)

Experience
accounting operations preferred.
Role Summary
• Performs complex Fund/Client Accounting responsibilities in the areas of driving Service Improvement plans, targeting efficiencies,
enhancing processes and specialist review functions. Provides input into methodologies and checks the work of more junior team
members.
• Provides guidance and reviews work related to cash and asset reconciliations relating to complex accounts or transactions. Resolves
reconciliation of accounts for more complex or atypical transactions and reviews work of junior team members.
• Drafts reports for clients regarding the performance of complex funds. Reviews draft reports completed by more junior staff.
• Regularly interacts with clients in answering questions and resolving issues regarding fund reports and accounting processes.
• Assists in evaluating GAAP and/or IFRS rules to determine impact of new regulations on BNY Mellon fund accounting practices.
Competencies
• Sound Accounting knowledge, • Strong verbal and written • No Direct • Proficiency in MS Office
• Life cycle of trade communication skills reportees • Exposure to Accounting
• Identification of Complex Break items and Resolution - • Email and Telephone Platforms such as
Root cause & NAV Impact Etiquettes Geneva,
• Impact & processing of entries in accounting platform • Analysis Skills InvestOne,Multifunds &
• Product knowledge & valuations of various products • Prioritization – Time LAMP
• Basics of manual interest calculations on fixed income Management • Exposure to Recon
products • Innovation & Problem Platforms such as TLM
• Understanding of security setups and security specific solving • Exposure to Bloomberg
nuances • Interpersonal Skills and / or IDC
• Portfolio Valuation & checks • Timely escalations
• Trouble shooting on issues & understanding of their NAV
impacts

AIS Fund Accounting - Grade I (PM track)

Experience
accounting operations preferred and in additional at least 1 year of people Management Experience
Role Summary
• Performs complex Fund/Client Accounting responsibilities in the areas of driving Service Improvement plans, targeting efficiencies,
enhancing processes and specialist review functions. Provides input into methodologies and checks the work of more junior team
members.
• Provides guidance and reviews work related to cash and asset reconciliations relating to complex accounts or transactions. Resolves
reconciliation of accounts for more complex or atypical transactions and reviews work of junior team members.
• Drafts reports for clients regarding the performance of complex funds. Reviews draft reports completed by more junior staff.
• Regularly interacts with clients in answering questions and resolving issues regarding fund reports and accounting processes.
• Assists in evaluating GAAP and/or IFRS rules to determine impact of new regulations on BNY Mellon fund accounting practices.
Competencies
• Sound Accounting knowledge, • Strong verbal and • People management skill. • Proficiency in MS Office
• Life cycle of trade written communication - Work allocation, Leave • Exposure to Accounting
• Identification of Complex Break items and Resolution skills planning, backup Platforms such as Geneva,
- Root cause & NAV Impact • Email and Telephone planning, conflicts InvestOne,Multifunds &
• Impact & processing of entries in accounting platform Etiquettes management & capacity LAMP
• Product knowledge & valuations of various products • Analysis Skills planning etc. • Exposure to Recon
• Basics of manual interest calculations on fixed • Prioritization – Time • Ensures Accountability - Platforms such as TLM
income products Management Takes ownership of the • Exposure to Bloomberg
• Understanding of security setups and security • Innovation & Problem funds and / or IDC
specific nuances solving • Drives Results
• Portfolio Valuation & checks • Interpersonal Skills • Builds Effective Teams
• Performance fees methods • Timely escalations
• Trouble shooting on issues & understanding of their
NAV impacts

AIS Fund Accounting - Grade J (PM track)

Role Summary
• Manages team in determining the net asset value (NAV) for assigned funds for each measurement cycle.
• Manages relationships with assigned clients and ensures all questions are answered and issues with fund calculations and accounting are
resolved.
• Manages processes for checking for the completeness and accuracy of disclosure in financial statements. Provides oversight of team to
ensure that accounting records are maintained in accordance with departmental policies and procedures. Resolves escalated issues from
team members.
• Evaluates GAAP and/or IFRS rules to determine impact of new regulations on BNY Mellon fund accounting practices.
• Manages the drafting of financial reports for clients to review fund performance. Communicates reports and accounting intricacies to clients.
• Recruits, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to function
Competencies
- Root cause & NAV Impact • Email and Telephone planning, conflicts InvestOne, Multifunds &
• Performance fees methods • Timely escalations • Developing Partnerships
• Trouble shooting on issues & understanding of their • Change management
NAV impacts

AIS Fund Accounting - Grade K (PM track)

Experience 10+ years of total work experience preferred; experience in brokerage/banking operations preferred.
Role Summary
• Manages team in determining the net asset value (NAV) for assigned funds for each measurement cycle.
• Manages relationships with assigned clients and resolves any escalated issues related to fund calculations and accounting.
• Directs and sets priorities for processes that check for the completeness and accuracy of disclosure in financial statements. Provides guidance to
teams managed to ensure that accounting records are maintained in accordance with departmental policies and procedures. Resolves escalated
issues from team members.
• Evaluates GAAP and/or IFRS rules to determine impact of new regulations on BNY Mellon fund accounting practices. Provides guidance to teams on
implementation of new policies to follow regulations. Directs the drafting of financial reports for clients to review fund performance. Communicates
reports and accounting intricacies to clients.
• Leads working relationships with auditors and clients to make changes to financial reports and ensure they accurately depict fund performance.
Competencies
- Root cause & NAV Impact • Email and Telephone planning, conflicts InvestOne, Multifunds &
• Performance fees methods • Timely escalations • Developing Partnerships
• Trouble shooting on issues & understanding of their • Change management
NAV impacts

Middle Office Operations (MOO)

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Learning Pathway
Middle Office Operations - Business Overview
Middle Office Operations (MOO) team services multiple Investment Managers across EMEA and USA region.
The team works upon various mandates like retail, institutional, pension & hedge funds. The team is
responsible for managing entire trade life cycle, right from onboarding a client on proprietary platforms to
processing and confirming the trades with various brokers and custodians and finally, monitoring and
investigating the fails reported by custodians. Thereafter, a team of investment specialist reconcile
Investment manager Books Of Account (IBOR) with Custodian Books Of Accounts (CBOR) to substantiate
the cash and position held into the fund accounts. The cash & position annotated reports are further used by
Investment managers and custodians to compute performance returns and asset value accurately.
• Trade Process: The team is responsible for managing entire trade life cycle, right from onboarding a client on proprietary platforms to
processing and confirming the trades with various brokers and custodians and finally, monitoring and investigating the fails reported by
custodians.
• Reconciliations/Accounting: The team is responsible to reconcile Investment manager Books Of Account (IBOR) with Custodian
Books Of Accounts (CBOR) / 3rd party records to substantiate the cash and position held into the fund accounts. Based on the research
performed, adjustment to the accounting system will be posted as per standing instructions/approved protocol and quality control of the
posting will be performed. The cash & position annotated reports are further used by Investment managers and custodians to compute
performance returns and asset value accurately.

Legend
Middle Office Operations (MOO) - Career Matrix Existing Roles In India

Manager, Manager,
Team Analyst Team Lead,

(I-IC) (I-Support)
Job Complexity
Lead Lead
(H-Support) (H-Support)
Analyst
Analyst Senior (G-IC)
(G-IC) Representative,
(G-Support)
Intermediate
Intermediate
Representative,
Representative,
(F-Support)
(F-Support)
Trade Process Reconciliations

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Cross


Job Code Family:

70552 Representative, MOO Support
70551 Intermediate Representative, MOO Support
70550 Senior Representative, MOO Support
70549 Lead Representative, MOO Support
70691 Team Lead, MOO Support
70548 Analyst, MOO Individual Contributor
70547 Senior Analyst, MOO Individual Contributor
70546 Lead Analyst, MOO Individual Contributor
70545 Specialist, MOO Individual Contributor
70544 Manager, MOO Management
70543 Lead Manager, MOO Management
70542 Group Manager, MOO Management
70541 Senior Group Manager, MOO Management

Growth Matrix :
Trade Process Reconciliations
Reconciliations
Trade Process

Middle Office Operations (MOO) - Cross Functional Career Matrix
Instructions
IVC, IPG, Settlements – IPG / CIBC DSD -Custody Processing
/ IVC / Settlements
Processes under Middle
Office Operations
Treasury Services -Cash Operations GFASS & FA TCM – TCM


EMEA TA - Client Processing further details
Click on “MOO” in cross-

USTA - Client Processing functional Navigation to come
Trade Processing back to this page
CT & CT Analytics - Cash

Reconciliation (CD0) - US & EMEA
Reconciliation
EMEA TA – Reconciliation
Reconciliations AIS - Recon
CT & CT Analytics - DLM/QSR

(Recon)
HedgeMark-Hedge Fund - Holding GFASS & FA TCM - Investor

Reconciliation Services

MOO
Trade Process

Trade Process - Grade E (Support track) Back to Career Matrix
Experience 0-2 years of total work experience experience in financial operations preferred.
Role Summary
A representative in trade process business is responsible to make necessary system set-up received from internal and/or external
counterparties, troubleshoot enrichment exceptions in TradeFlow and CMS applications, process trades instructions received in
mailboxes and FTP location, affirm trades received from IMs and confirm them with respective brokers, monitor fail reports received from
custodians and upload it on FailStation, monitor receipt of cash instruction and process it on market applications
Competencies
• Strong verbal and • Proficiency in MS Office

• Life cycle of trade written communication (excel in particular)
• Knowledge on assets classes skills • Exposure to Platforms
• Knowledge of participants in Trade • Email and Telephone (such as SWIFT, OMGEO
• Trade Processing, confirmation, Settlements Etiquettes - CTM, ALERT)
Management

Trade Process - Grade F (Support track) Back to Career Matrix
Qualification Bachelor’s degree (Commerce preferred) / Post Graduate in Business is preferred.

2-4 years of experience, experience in financial operations preferred.
Experience
Role Summary
A intermediate representative in trade process business is responsible to troubleshoot complex enrichment exceptions in TradeFlow and
CMS applications, review trades processed manually on propriety systems, review trades confirms and liaise with brokers and custodians
for non-receipts, review market fails and comment with reasons for fails
Competencies

• Strong verbal and written • Perform Root Cause • Proficiency in MS Office
• Life cycle of trade communication skills Analysis (excel in particular)
• Knowledge on assest classes • Email and Telephone • Shares new procedures • Exposure to Platforms
• Knowledge of participants in Trade Etiquettes • Innovation and Problem (such as SWIFT, OMGEO
• Ref Data Management - SSIs etc • Prioritization – Time Solving - CTM, ALERT)
• Trade Processing, confirmation, Settlements Management
• Market deadlines • Interpersonal Skills

Trade Process - Grade G (IC track) Back to Career Matrix
Experience 4-6 years of relevant experience, experience in financial operations and specifically trade operations is preferred.
Role Summary
A Analysts in trade process business is responsible to monitor daily progress of production of trade processing activities, maintain
dashboard, MIS and KPI reports, conduct training for new hires & maintain Issue log/error logs, SOPs etc.
Competencies

• Knowledge on assets classes • Email and Telephone • Shares new procedures • Exposure to Platforms
• Knowledge of participants in Trade Etiquettes • Innovation and Problem (such as SWIFT, OMGEO -
• Ref Data Management - SSIs etc • Prioritization – Time Solving CTM, ALERT)
• Trade Processing, confirmation, Settlements Management • Work Allocation - load
• Market deadlines • Interpersonal Skills balancing
• Decision Making • Innovation
• Problem Solving
• Adherence to follow-ups
and escalation metrics

Trade Process - Grade I (IC track) Back to Career Matrix
Qualification Bachelor’s degree (Commerce preferred)Post Graduate in business is preferred.

6-8 years of work experience; Specifically in Trade operations is preferred. Out of that 2-3 years experience of team
Experience
handling is preferred.
Role Summary
Serves as team supervisor/manager for the day-to-day operations of a medium to large-sized team, overseeing work direction and technical
assistance on complex matters. Manages the daily activities of a team servicing multiple funds and aligns team resources accordingly to
complete the daily tasks. Oversees review of data and issue escalations. Serves as first line supervisor for assignment of tasks and resolution
of issues. Directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to function
effectively with their colleagues as a team. Provides oversight on review of exceptions, ensuring all internal, external, and regulatory
procedures were followed. Resolves complex, escalated issues from subordinate staff.
Competencies
• Knowledge on assets classes • Email and Telephone • Shares new procedures • Exposure to Platforms (such
• Knowledge of participants in Trade Etiquettes • Innovation and Problem as SWIFT, OMGEO - CTM,
• Ref Data Management - SSIs etc • Prioritization – Time Solving ALERT)
• Trade Processing, confirmation, Settlements Management • Work Allocation - load
• Understanding of Markets deadlines • Interpersonal Skills balancing
• Broker-Dealer operations • Decision Making • Innovation
• Collateral Management • Problem Solving • Conflict Management
• Portfolio/fund classes and type • Adherence to follow-ups and • Leaves and Capacity
escalation metrics Planning
• Process Trainings • Accountability - Onus
• Change Management • Executor
• Transition

Trade Process - Grade J (PM track) Back to Career Matrix
Qualification Bachelor’s degree (Commerce preferred)/Post Graduate in Business is preferred.
8-10 years of work experience: specifically in Trade operations is preferred.

Experience
Out of that 4-5 years experience of Team handling is essential.
Role Summary
Manages a team of Middle Office staff responsible for researching and analyzing transactions on behalf of assigned clients; handles trade
inquiries. Also responsible for oversight of processing, trend analysis, client engagement, TPG review (SLA), process improvement, industry
specialist, architecturally aware, incident management, and on shore recovery (processing). Manages the performance of assigned staff and
sets team priorities. Manages processes and provides oversight of team to ensure that records are maintained in accordance with departmental
policies and procedures. Supports evaluation of new clients and determine how to allocate that client against the various teams. Recruits,
directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to function effectively
Competencies
• Strong verbal and written • Perform Root Cause Analysis • Proficiency in MS Office
• Life cycle of trade communication skills • Shares new procedures (excel in particular)
• Knowledge on assets classes • Email and Telephone Etiquettes • Innovation and Problem Solving • Exposure to Platforms
• Knowledge of participants in Trade • Prioritization – Time Management • Work Allocation - load balancing (such as SWIFT,
• Ref Data Management - SSIs etc • Interpersonal Skills • Innovation OMGEO - CTM, ALERT)
• Trade Processing, confirmation, • Decision Making • Conflict Management
Settlements • Problem Solving • Leaves and Capacity Planning
• Understanding of Markets deadlines • Adherence to follow-ups and • Accountability - Onus
• Broker-Dealer operations escalation metrics • Executor
• Collateral processing & Management • Process Trainings • Negotiation
• Portfolio/fund classes and type • Change Management • Presentation
• Transition • Strategist

Trade Process - Grade K (PM track) Back to Career Matrix
10-12 years of work experience; specifically in Trade operations is preferred.

Experience
Role Summary
Manages day to day work of multiple Middle Office teams responsible for researching and analyzing transactions on behalf of more complex
assigned clients; handles trade inquiries. May provide input into defining the functional strategy. Manages the performance of assigned staff and
sets team priorities. Manages relationships with broad set of assigned clients and resolves any escalated issues related to transactions.
Allocates work to team members and begins focus more on HR accountabilities for the team. Also responsible for oversight of processing, trend
analysis, client engagement, TPG review (SLA), process improvement, industry specialist, architecturally aware, incident management, and on
shore recovery (processing). Communicates with internal stakeholders and clients to ensure needs are being addressed by the Middle Office
function and provides input to Unit Managers. May leverage to navigate and resolve non-complex client situations.
Competencies
• Strong verbal and written • Innovation and Problem Solving • Proficiency in MS Office
• Life cycle of trade communication skills • Work Allocation - load balancing (excel in particular)
• Knowledge on assets classes • Email and Telephone • Innovation • Exposure to Platforms
• Knowledge of participants in Trade Etiquettes • Conflict Management (such as SWIFT,
• Ref Data Management - SSIs etc • Prioritization – Time • Leaves and Capacity Planning OMGEO - CTM,
• Trade Processing, confirmation, Management • Accountability - Onus ALERT)
Settlements • Interpersonal Skills • Executor
• Understanding of Markets deadlines • Decision Making • Negotiation
• Broker-Dealer operations • Problem Solving • Presentation
• Collateral processing & • Adherence to follow-ups and • Strategist
Management escalation metrics • Stakeholder Management
• Portfolio/fund classes and type • Process Trainings • Build high performance team
• Change Management • Work& Impact analysis
• Transition • Clear any audit related issues (Internal & External)
• Control and Impact and give heads up to Senior Management around
critical audit observations or Findings.
• Should groom and mentor people to help them
grow.

MOO
Reconciliations Team

Reconciliations - Grade E (Support track) Back to Career Matrix
Experience Fresher's or 0-2 years of total work experience experience in financial operations preferred.
Role Summary
The individual is required to perform Reconciliation between Investment manager Books Of Account (IBOR) with Custodian Books Of Accounts
(CBOR) / 3rd party records. All the reconciliation deadlines to be followed as agreed in SLA with respective departments. Reconciliation to be
completed with utmost accuracy and timeliness following the standard operating procedure; exceptions investigation and sourcing to
Competencies
• Strong verbal and Performs daily reconciliations, • Proficiency in MS Office

• Life cycle of Recon written communication identification of basic (excel in particular)
• Knowledge of participants in Recon skills exceptions between systems, • Exposure to Reconciliation
• Basics Of Accounting and Reconciliation as to • Email and Telephone clients, institutions, etc. for platform (such as TLM,
how it works. Etiquettes securities & cash. Identify etc.)
• Break Identification • Prioritization – Time correct action party for
• Understanding of basic financial instruments Management resolution and code exception
like Securities, bonds ,T-Bills etc.. • Open minded and ready to that department.
• Knowledge of Cash Reconciliation is essential. for changes and Focus is on learning the
challenges. reconciliation process.
Do the standard reporting and
complete the checklist task on
reconciliation.

Reconciliations - Grade F (Support track) Back to Career Matrix
Experience 2-4 years of experience, experience in financial operations preferred
Role Summary
The individual is required to perform Reconciliation between Investment manager Books Of Account (IBOR) with Custodian Books Of Accounts
(CBOR) / 3rd party records. All Reconciliation deadlines as agreed in SLA with respective departments, to be monitored and issues should be
raised to immediate supervisor. He/She need to make sure that accuracy and timeliness is maintained at high standard following the standard
operating procedure; exceptions investigation and sourcing to be completed for the set reconciliation frequency. The individual need to assist
team members on resolving issues coming in reconciliation. Changes related to Reconciliation standard operating procedure need to be
highlight and incorporate in the document. All issues related to missing statements or otherwise to be raised on urgent basis to immediate
Supervisor.
Competencies
• Life cycle of Recon communication skills Analysis (excel in particular)
• Knowledge of participants in Recon • Email and Telephone • Shares new procedures • Exposure to Platforms
• Basics Of Recon & Accounting Etiquettes • Innovation and Problem (such as TLM)
• Break Identification and root cause analysis • Prioritization – Time Solving • Exposure to
• Understanding of basic financial instruments Management • Ensures Accountability - Accounting/Custody
like Securities, bonds, T-Bills etc. • Interpersonal Skills Takes ownership of the Platforms (such as GSP,
• Basis understanding of Transaction lifecycle, • Strong understanding of Reconciliation performed IMMS, IAS, Eagle or other
Corporate Actions, Income events, IBOR/CBOR/ABOR (Cash within sub functions. standard custody systems
Payments related issues etc. is added and Securities) and used across Industry)
advantage. exceptions. Understanding of
Notstro account reconciliation
is added advantage.

Reconciliations - Grade G (Support Track)
4-6 years of relevant experience, specifically in reconciliation/accounting is preferred. Team Handling experience is
Experience
advantage (8-10 Team Members)
Role Summary
The individual is required to perform & monitor Reconciliation between Investment manager Books Of Account (IBOR) with Custodian Books Of
Accounts (CBOR) / 3rd party records. All Reconciliation deadlines as agreed in SLA with respective departments, to be monitored and issues should be
raised to immediate Manager. Track the accuracy and timeliness of the reconciliation. Update KPI/KRI on weekly/monthly basis. Track individual
function. Conduct Performance Management Program for the team.
Competencies

• Break Identification and root cause analysis • Analytical skills are Solving • Exposure to
• Understanding of basic financial instruments like essential to find out ways • Work Allocation - load Accounting/Custody
Securities, bonds, T-Bills etc. for process improvements. balancing Platforms (such as GSP,
• Basis understanding of Transaction lifecycle, • Prioritization – Time • Innovation IMMS, IAS, Eagle or other
Types of Corporate Actions, Income events, Management, work People management skill. - standard custody systems
Payments related issues etc. is added advantage. management. Work allocation, Leave used across Industry)
• Should handle BCP testing and Weekend system • Innovation & Problem planning, backup planning, • Exposure to Research
testing for CMS (Crisis Management System). solving. conflicts management & Databases (such as
• Prepare MIS Reports and capacity planning etc. Bloomberg or IDC).
circulate across • Ensures Accountability - • Knowledge around CMS
management team for Takes ownership of the (Crisis Management
visibility purpose. Reconciliation process. System) is added
• Change management • Drives Results. advantage.
• Interpersonal Skills • Builds Effective Teams
• Timely escalations • Developing Partnerships

Reconciliations - Grade G (Individual Contributor)
4-6 years of relevant experience, specifically in reconciliation/accounting is preferred. Experience around process
Experience
enhancements/ Innovation /efficiencies is added advantage.
Role Summary
The individual is required to monitor and analyze the reconciliation data. Identify and Provide trends around data points like exception counts,
assignments per department, count of re-assignments, email queries. Perform final review of recon & accounting activities. Perform root cause analysis
of issues like incorrect assignments, incorrect account setups. Provide details on process enhancements to technology team and execute changes into
process. All Reconciliation deadlines as agreed in SLA with respective departments, to be monitored and issues should be raised to immediate
Manager. Review process periodically with more senior team member to find more process improvement opportunities.
Competencies

• Break Identification and root cause analysis • Analytical skills are Solving • Exposure to
• Understanding of basic financial instruments like essential to find out ways • Ensures Accountability - Accounting/Custody
Securities, bonds, T-Bills etc. for process improvements. Takes ownership of the Platforms (such as GSP,
• Basis understanding of Transaction lifecycle, • Innovation & Problem Reconciliation. IMMS, IAS, Eagle or other
Types of Corporate Actions, Income events, solving. • Drives Results. standard custody systems
Payments related issues etc. is added advantage. • Prepare MIS Reports and • Developing Partnerships used across Industry)
circulate across with Key stake holders. • Exposure to Research
management team for • Work towards process Databases (such as
visibility purpose. enhancements and make Bloomberg or IDC).
• Change management sure results delivered on
• Interpersonal Skills timely manner.

Reconciliations - Grade H (Support Track)
6-8 years of total work experience, specifically in reconciliation/accounting is preferred. Team Handling experience is advantage
Experience (8-10 Team Members) Out of that 1-3 years experience of project work and process analysis. Process enhancement experience is
added advantage
Role Summary
function. Conduct Performance Management Program for the team. The individual is required to complete in-depth reconciliation data analysis. Identify
and Provide trends around data points like exception counts, assignments per department, count of re-assignments, email queries. Review process
periodically with more senior team member to find more process improvement opportunities. Conducts technical testing & implementation of
reconciliation software.
Competencies
• Recon Processing, confirmation, • Strong verbal and written • Identifies trends, provides • Proficiency in MS Office (excel in
Settlements communication skills root cause analysis and particular)
• Knowledge on assets classes • Email and Telephone Etiquettes executes on • Exposure to Platforms (such as
• Life cycle of Recon • Analytical skills are essential to recommendations. Conducts TLM)
• Knowledge of participants in Recon find out ways for process technical testing and the • Exposure to Accounting/Custody
• Basics Of Recon & Accounting improvements. implementation of Platforms (such as GSP, IMMS,
• Break Identification and root cause • Prioritization – Time reconciliation software IAS, Eagle or other standard
analysis Management, work changes. Receives guidance custody systems used across
• Understanding of basic financial management. from more experienced staff. Industry)
instruments like Securities, bonds, T- • Innovation & Problem solving. • Expertise around escalation • Exposure to Research Databases
Bills etc. • Prepare MIS Reports and handling is advantage. (such as Bloomberg or IDC).
• Basis understanding of Transaction circulate across management • Ensures Accountability - • Knowledge around CMS (Crisis
lifecycle, Types of Corporate Actions, team for visibility purpose. Takes ownership of the Management System) is added
Income events, Payments related • Change management Reconciliation process. advantage.
issues etc. is added advantage. • Interpersonal Skills • Drives Results. • Exposure Data Analytical tools is
• Should handle BCP testing and • Timely escalations • Builds Effective Teams an added advantage
Weekend system testing for CMS • Developing Partnerships

Reconciliations - Grade I (Support Track)
7-8 years of total work experience, specifically in reconciliation/accounting is preferred. Team Handling experience is advantage
Experience (10-15 Team Members) Out of that 3-5 years experience of project work and process analysis. Process enhancement experience
is added advantage
Role Summary
function. Conduct Performance Management Program for the team. The individual is required to complete in-depth reconciliation data analysis. Identify
and Provide trends around data points like exception counts, assignments per department, count of re-assignments, email queries. Review process
periodically with more senior team member to find more process improvement opportunities. Conducts technical testing & implementation of
reconciliation software.
Competencies
• Recon Processing, confirmation, • Strong verbal and written • Identifies trends, provides • Proficiency in MS Office (excel in
Settlements communication skills root cause analysis and particular)
• Knowledge on assets classes • Email and Telephone Etiquettes executes on • Exposure to Platforms (such as
• Life cycle of Recon • Analytical skills are essential to recommendations. Conducts TLM)
• Knowledge of participants in Recon find out ways for process technical testing and the • Exposure to Accounting/Custody
• Basics Of Recon & Accounting improvements. implementation of Platforms (such as GSP, IMMS,
• Break Identification and root cause • Prioritization – Time reconciliation software IAS, Eagle or other standard
analysis Management, work changes. Receives guidance custody systems used across
• Understanding of basic financial management. from more experienced staff. Industry)
instruments like Securities, bonds, T- • Innovation & Problem solving. • Expertise around escalation • Exposure to Research Databases
Bills etc. • Prepare MIS Reports and handling is advantage. (such as Bloomberg or IDC).
• Basis understanding of Transaction circulate across management • Ensures Accountability - • Knowledge around CMS (Crisis
lifecycle, Types of Corporate Actions, team for visibility purpose. Takes ownership of the Management System) is added
Income events, Payments related • Change management Reconciliation process. advantage.
issues etc. is added advantage. • Interpersonal Skills • Drives Results. • Exposure Data Analytical tools is
• Should handle BCP testing and • Timely escalations • Builds Effective Teams an added advantage
Weekend system testing for CMS • Developing Partnerships

Reconciliations - Grade J (PM track) Back to Career Matrix
8-10 years of work experience: specifically in reconciliation & accounting is preferred.

Experience
Out of that 4-5 years experience of Team handling is essential (15-30 Team Members)
Role Summary
The individual is required to monitor Reconciliation between Sub custodian (Market) books and records Vs BNYM Books and
Records. Manage day-to-day reconciliation activities and accuracy and timeliness of reconciliation and escalate issues to next level
manager. Conduct periodic team meeting and provide necessary updates on process and other related areas. Establish and update
Standard Operating Procedures. Complete workforce assessment for process, recruit new staff, motivate and groom staff to get the
maximum contribution from them. Ensure that any reconciliation changes updated seamlessly.
Competencies
• Basics Of Accounting and Reconciliation as to • Strong verbal and • Perform Root Cause Analysis • Proficiency in MS Office
how it works. written communication • Shares new procedures (excel in particular)
• Escalation handling and timely escalation. skills • Innovation and Problem • Exposure to Platforms
• Work on conversion and migration related • Email and Telephone Solving (such as TLM)
projects. Etiquettes • Work Allocation - load • Exposure to
• Recon Processing, confirmation, Settlements • Prioritization – Time balancing Accounting/Custody
• Knowledge on assets classes Management • Innovation Platforms (such as GSP,
• Understanding of basic financial instruments • Interpersonal Skills • Conflict Management IMMS, IAS, Eagle or other
like Securities, bonds, T-Bills etc. • Decision Making • Leaves and Capacity Planning standard custody systems
• Basis understanding of Transaction lifecycle, • Problem Solving • Accountability - Onus used across Industry)
Types of Corporate Actions, Income events, • Adherence to follow- • Executor • Exposure to Research
Payments related issues etc. is added ups and escalation • Negotiation Databases (such as
advantage. metrics • Presentation Bloomberg or IDC).
• Experience around Audit presentations is • Process Trainings • Strategist • Knowledge around CMS
essential. Effectively handle audit requests • Change Management • Reach out to customers and (Crisis Management
and provide required data accurately and • Transition stake holders to see what are System) is added
timely. the requirements and changes advantage.
• Effectively needs to handle escalations and around services that they are • Exposure Data Analytical
take preventive majors so that issue will not expecting. tools is an added
occur again. advantage

Reconciliations - Grade K (PM track) Back to Career Matrix
10-12 years of work experience; specifically in reconciliations is preferred.

Experience
Role Summary
The individual is required to manage day-to-day activities, ensure quality and accuracy of reconciliation is maintain a high standard. Ensure that all SLAs as
agreed with key operations areas a adhered to. Oversees implementation of new reconciliation project, migration related tasks and understand the impact of
project on Team. Oversee process trending around exception management, error management, maintain related documents and provide process related
enhancement to consistently make process better. Mentor, Groom and motivate staff so that the best outcome can be derived. Take regular skip level meetings
to understand process and people problem within function and address them effectively. Keep close watch on customer voice to understand where business is
standing and how it can be improved on performance and deliverables.
Competencies
• Strong verbal and • Perform Root Cause Analysis • Proficiency in
• Life cycle of Recon written communication • Shares new procedures MS Office (excel
• Knowledge on assets classes skills • Innovation and Problem Solving in particular)
• Knowledge of participants in Recon • Email and Telephone • Work Allocation - load balancing • Exposure to
• Recon Processing, confirmation, Settlements Etiquettes • Innovation Platforms (such
• Understanding of Markets deadlines • Prioritization – Time • Conflict Management as TLM)
• Broker-Dealer operations Management • Leaves and Capacity Planning • Exposure to
• Collateral processing & Management • Interpersonal Skills • Accountability - Onus Research
• Portfolio/fund classes and type • Decision Making • Executor Databases
• Basis understanding of Transaction lifecycle, • Problem Solving • Negotiation (such as
Types of Corporate Actions, Income events, • Adherence to follow- • Presentation Bloomberg or
Payments related issues etc. is added ups and escalation • Strategist IDC)
advantage. metrics • Clear any audit related issues (Internal & • Exposure Data
• Experience around Audit presentations is • Process Trainings External) and give heads up to Senior Analytical tools
essential. Effectively handle audit requests • Change Management Management around critical audit is an added
and provide required data accurately and • Transition observations or Findings. advantage
timely. • Should groom and mentor people to help
• Effectively needs to handle escalations and them grow. Conduct customer voice
take preventive majors so that issue will not survey and provide results to Senior
occur again. Management.

Client Activation

Click here for
Learning Pathway
Client Activation – Business Overview

Client Activation is a Center of Excellence utility which focuses on key pillars of Know-Your-Customer, Client Party Data, Account
Activation, Client Documentation Management and Tax Operations for businesses across Investment Services.
Account Activation
Account Activation is involved in Opening as well as maintaining and closure of the custody and the cash accounts on various BNYM platforms like GSP and
IMMS, also responsible for setting up cash & custody report on GSP,IMMS & GTM. Account Activation is also responsible to open, maintain and Close accounts
on CMS (Custody) as well as IAS (Accounting) platforms based on the instructions received from client services, RM and client facing colleagues across the globe.
Know Your Customer

Perform initial research of new clients and obtain Legal Entity CIDs, Electronic Credit Approval process to obtain operational credit in the form of Borrower Ratings,
Credit Limits from BCredit team. Team is also required to complete KYC periodic reviews which is risk based customer review of relevant information to ensure
that the information held on file by BNY Mellon is accurate and up-to-date and that, most importantly, there are no concerns with BNY Mellon continuing with the
relationship.
Tax Documentation and Services

Tax documentation & proxy team is responsible in preparing documents on behalf of the clients and prepare the associated checks for various fees involved with
certification of the documents. The team is also responsible to work on the invalid & missing documents for US clients who have not opted for self service model
and provide this information to the client tax contact team in Pittsburgh so as to facilitate the data to the clients. Tax reclaims & payments team’s aim is to file all
standing reclaims within CMS and PSS for APAC and EMEA markets before Statute of limitation. Pay all the refunds received for the reclaims filed in APAC,
EMEA and North American markets within 24 hours. Pass on the capital gain tax debits to the clients account that are charged by the sub-custodians on the sale
proceeds within 24 hours. We also complete the sub-custodian reconciliation and breakdown uploads for Omnibus account structure so as to have appropriate
controls on tax services offered by the Bank.
Client Data Operations

ECIF is involved in party relationship integration product that facilitates true client relationship management by enabling BNY Mellon to capture, integrate, store
and manage a real-time single view of its clients across multiple business lines and databases. The process purpose is to create a single client-level record that
simplifies client data management and provides solid basis for reporting needs. Team is also required to support CID maintenance
Tax Reporting
Pursuant to the Emergency Economic Stabilization Act of 2008, there is an IRS regulation requiring enhanced 1099-B reporting. BNY Mellon is required to provide
this enhanced 1099-B reporting to all of its clients where BNY Mellon is the Custodian. GainsKeeper is the application in which CBR Operations maintain cost
basis related data and ensure that accurate tax lots and lot dispositions are calculated. CBR teams support account maintenance, reconciliations, corporate
actions, asset transfers, unique accounting events, and conversions. In addition to CBR reporting, teams also support 1042 reporting

Legend
Client Activation - Career Matrix Roles exists only outside India
Lead Lead Lead Lead Manager Lead

Manager Manager Manager (K - PM) Manager
(K-PM) (K-PM) (K-PM) (K - PM)
Manager Manager Manager Manager Manager

(J – PM) (J-PM) (J-PM) (J -PM) (J - PM)
Lead Analyst Team Lead Team Lead Team Lead Lead. Analyst Team Lead
(I – IC) (I-Support) (I – Support (I-Support) B.L (I - Support)
(I- IC)
Senior Lead Rep Senior Senior
Lead Rep
Job Complexity
Analyst (H – Analyst Analyst

(H – Support Senior
(H – IC) Support (H – IC) (H - IC)
Sr. Rep, Analyst - BL
Analyst Sr Rep Sr Rep Senior Rep
B.L(G- Analyst (H - IC)
(G-IC) (G-Support) (G - (G - Support)
Support) Support) (G-IC)
Intermediate Intermediate Intermediate Intermediate Intermediate
Rep (F - Rep (F- Rep (F - Rep (F- Rep (F -
Support) Support) Support) Support) Support)
Rep
Rep (E - Rep (E - Rep (E -
(E -
Support) Support) Support)
Support)
Client Data
Operations and KYC Global Tax Operations Account Activation Global Tax Services
Control

Navigation
Functional

Cross


Job Code Family :

70172 Inter Rep, Bus Tech Liaison Support
70171 Sr. Rep, Bus Tech Liaison Support
70607 Team Ld, Client Processing Support
70089 Rep, Clt Onbdg/Trans/Conv/KYC Support
70088 Inter Rep, CltOnbd/Tran/Con/KYC Support
70597 Rep, Tax Reporting & Compliance Support
70596 Inter Rep, Tax Reporting & Compliance Support
70595 Senior Representative, Tax Reporting & Compliance Support
70312 Int Rep, AML/KYC/Prevention Support
70311 Sr. Rep, AML/Prevention/KYC Support
70326 Representative, Control Support
70325 Intermediate Rep, Control Support
70324 Sr. Representative, Control Support
70670 Team Lead, Tax Reporting & Compliance Support
70683 Team Lead, AML/Prevention/KYC Support
70594 Senior Analyst, Tax Reporting & Compliance IC
70170 Sr. Analyst, Bus Tech Liaison IC
70169 Ld Analyst, Bus Tech Liaison IC
70087 Analyst, CltOnbdg/Tran/Con/KYC IC
70085 LdAnalyst,CtOnbdg/Tran/Con/KYC IC
70589 Manager, Tax Reporting & Compliance Management
70082 Lead Manager, Client Onboarding/Transitions/Conversions/KYC Management
70589 Manager, Tax Reporting & Compliance Management
70588 Lead Manager, Tax Reporting & Compliance Management

Growth Matrix :
Intermediate
Representative
(F-Support)
KYC
Intermediate
Representative Representative Representative
(E-Support) (F-Support)
Global Tax (E-Support)
Client Data
Services Client Data Operations
Operations

Client Activation – Cross Functional Career Matrix
Instructions
Processes under Client

Activation
CT & CT Analytics - Doc Custody Portfolio Services Processes across functions

further details
Click on “Client Activation” in

Client Data KYC come back to this page
operations and
control
Global Tax
Services
Global Tax
Operations
Portfolio Services Portfolio Services
Account
Activation
CT & CT Analytics -DLM ( Client

Billing-Account Setup
EMEA TA - Investor Services

Client Activation
Client Data Operations and Control

Client Data Operations and Control - Grade E (Support track)
Qualification Bachelor's degree with a concentration in Accounting or Finance preferred
Role Summary
Support client onboarding/transition/conversion projects by performing a set of basic operational activities. Updating client
database to maintain accurate client hierarchy.
Competencies
Technical/ Functional Professional Leadership Systems ( Core/non-core)
Basic understanding of securities Strong verbal and written NA Basic knowledge of MS

market, basic understanding of communication skills Office (excel in particular).
Client hierarchy at BNY Mellon. Email and Telephone Etiquette Basic understanding of Gold
Basic understanding of custody as Tier. Good understanding of
well as payment applications. CIF and CMT. Basic
understanding of
documentation.

Client Data Operations and Control - Grade F (Support track)
Experience 2-3 Years of Total Work Experience preferred. Experience in AML/KYC required
Role Summary
Support more complex client onboarding/transition/conversion projects through a diverse set of operational activities.
Ensuring accurate client hierarchy on the client database.
Competencies
Basic knowledge of Finance, Strong verbal and written N/A Basic knowledge of MS
taxation, regulations. Basic communication skills Office (excel in particular).
understanding of working with Email and Telephone Good understanding of CIF
macros and MS access. Basic Etiquettes and CMT. Basic
understanding of custody as well Analytical Skills understanding of
as payment applications. Prioritization – Timely documentation.
escalations
Contribute towards CPI

Client Data Operations and Control - Grade G (IC track)
Role Summary
Under significant direction, conduct assigned operational & data analysis activities related to client
onboarding/transitions/conversions.
Prepare for and onboard clients, open and close accounts and/or analyze, reconcile and review incoming or outgoing data for
accurate translation to platform.
Competencies
Prepares for the opening of new Strong verbal and written People management skill. - Proficiency in MS Office
accounts once due diligence on communication skills Work allocation, Leave (excel in particular)
KYC and AML has been Email and Telephone planning, backup planning, Ability to create functional
completed. Reviews the Account Etiquettes. Interpersonal conflicts management & utility tools.
Opening Checklist for accuracy. and problem solving skills capacity planning etc.
Closes off accounts by first Ensures Accountability - Takes
checking for any pending activity or ownership of the funds
balances remaining in the account. Drives Results
Conducts pre-transition/conversion Builds Effective Teams
testing and quality review of client Developing Partnerships Risk
data. Escalates findings to senior & control Management ,
colleagues or assigned transition Efficiency & Innovation
consultant.

Client Data Operations and Control - Grade H (IC track)
Role Summary
Under moderate direction, onboard clients, open and close accounts and handle transitions and conversions to the system.
Analyze, reconcile and review incoming or outgoing data for accurate transition to platform. Obtain and review the appropriate
documentation and reference data, and ensure regulatory aspects of AML and KYC are completed.
Competencies
Prepares clients for entering new Strong verbal and written People management skill. Proficiency in MS Office
accounts by explaining and communication skills - Work allocation, Leave (excel in particular)
articulating the level of Email and Telephone Etiquettes planning, backup Good to have knowledge on
documentation required, Analysis Skills planning, conflicts custody applications like
regulations, complexities in the Prioritization – Time management & capacity GSP, CMS, PSS, Door's,
market and market expectations. Management planning etc. Gains keeper. Ability to
Works directly with clients to open Innovation & Problem solving Ensures Accountability - create functional utility tools.
new accounts once due diligence Change management Takes ownership of the
on KYC and AML has been Interpersonal Skills funds
completed and works with client Timely escalations Drives Results
and internal parties around asset Builds Effective Teams
events. Closes off accounts by first Developing Partnerships
checking for any pending activity or Risk & control
balances remaining in the account. Management ,
Efficiency & Innovation

Client Data Operations and Control - Grade I (IC track)
Role Summary
Under minimal direction, onboard clients into the system, open and close accounts and handle transitions and conversions to
the system. Serve as an advisor to clients as they onboard/transition/convert to/from organization products and solutions.
Obtain and review the appropriate documentation and reference data, and ensure regulatory aspects of AML and KYC are
completed. Ensure all SLA's are met.
Competencies

Prepares clients for entering new Strong verbal and People management skill. - Good knowledge on Life cycle of
accounts by explaining and written communication Work allocation, Leave trade.
articulating the level of skills planning, backup planning, Taxation methodologies applicable
documentation required, Email and Telephone conflicts management & on securities in global markets.
regulations, complexities in the Etiquettes capacity planning etc. Sound knowledge on
market and market expectations. Analysis Skills Ensures Accountability - Reconciliation.
Works directly with clients to open Prioritization – Time Takes ownership of the funds Knowledge of tax filings forms with
new accounts once due diligence Management Drives Results IRS.
on KYC and AML has been Innovation & Problem Builds Effective Teams Good knowledge of the End to End
completed and works with client solving Developing Partnerships Risk of Client Activation. Proficiency in
and internal parties around asset Change management & control Management , MS Office (excel in particular)
events. Closes off accounts by Interpersonal Skills Efficiency & Innovation Sound knowledge on custody
first checking for any pending Timely escalations applications like GSP, CMS, PSS,
activity or balances remaining in Door's, Gains keeper
the account.

Client Data Operations and Control - Grade J (PM track)
Experience 5-7 years of total work experience preferred & at least 1 year of management experience preferred.
Role Summary
Manage a team responsible for supporting client onboarding/transition/conversion projects. Manage the performance of
assigned staff; coach and guide team on project management.
Competencies
Systems
( Core/non-core)
Serves as an escalation point Good knowledge on Corporate actions. People management skill. - Proficiency in MS
for complex issues. Advises Life cycle of trade. Work allocation, Leave Office (excel in
and guides staff on Taxation methodologies applicable on planning, backup planning, particular)
appropriate solutions and securities in global markets. conflicts management & Ability to create
shepherds through to Good Knowledge of KYC documentation capacity planning etc. functional utility tools.
resolution. May research, Sound knowledge on Reconciliation Ensures Accountability -
develop and establish Good knowledge on Bonds & Shares. Takes ownership of the
methodologies, protocols and Knowledge of tax filings. funds
processes to facilitate or Understanding of FX transactions & its Drives Results
improve transition project implications. Builds Effective Teams
management or the client Excellent understanding of Tax Reclaims, Developing Partnerships
onboarding/transition/conversi Capital Gain Tax and Tax Documentation. Risk & control Management
on experience. Good knowledge of the End to End of Efficiency & Innovation
Asset Servicing business,

Client Data Operations and Control - Grade K (PM track)
Bachelor’s degree in a business discipline or the equivalent combination of education and experience is
Qualification
required. Post Graduation in Finance is preferred
8-10 years of total work experience and 1-2 years of management experience preferred; experience in tax
Experience
reporting and analysis preferred.
Role Summary
Manage a team responsible for advising clients or providing project management support for onboarding/transition/conversion
projects. Manage the performance of assigned staff, coach and guide on project management. Set departmental priorities and
allocate resources to align with business objectives and annual plan.
Competencies
Systems
( Core/non-core)
Serves as an escalation point Good knowledge on Corporate actions. Excellent People Proficiency in MS Office
for complex issues. Advises Life cycle of trade. management skill. (excel in particular)
and guides staff on Taxation methodologies applicable on conflicts Good to have
appropriate solutions and securities in global markets. management & knowledge on custody
shepherds through to Good Knowledge of KYC documentation capacity planning applications like GSP,
resolution. Researches, Sound knowledge on Reconciliation etc. CMS, PSS, Door's,
develops and establishes Good knowledge on Bonds & Shares. Ensures MELDEMS, CIT tool.
methodologies, protocols and Knowledge of tax filings. Accountability
processes to facilitate or Understanding of FX transactions & its Drives Results
improve transition project implications. Manages a team of
management or the client Excellent understanding of Tax Reclaims, professionals,
onboarding/transition/conversi Capital Gain Tax and Tax Documentation. including coaching,
on experience. Good knowledge of the End to End of performance
Asset Servicing business. management and
resource allocation.

Client Activation
Know Your Customer

Know Your Customer - Grade F (Support track)
Experience 2-3 Years of Total Work Experience preferred. Experience in AML/KYC required
Role Summary
Prepare basic and more detailed risk profiles for moderately complex clients and conduct periodic reviews of client profiles for
renewal. Perform Choice point scans for all the newly added names in client profiles
Competencies
Basic knowledge of Finance, Strong verbal and written N/A Proficiency in MS Office
taxation, Good knowledge of communication skills (excel in particular)
AML/KYC & US KYC regulations Email and Telephone
Etiquettes
Analytical Skills
Prioritization – Timely
escalations

Know Your Customer - Grade G (Support track)
Role Summary
Prepare detailed risk profiles for complex clients and conduct periodic reviews of client profiles for renewal. Provide guidance
to AML/KYC/Prevention support staff.
Competencies
Basic knowledge of Finance, Strong verbal and written N/A Proficiency in MS Office
taxation, Good knowledge of communication skills (excel in particular)
AML/KYC & US KYC regulations, Email and Telephone Ability to create functional
Understanding of risks related to Etiquettes utility tools.
types of entities. Prepares in-depth, Analytical Skills
detailed risk profiles for complex Prioritization – Timely
clients and conducts periodic escalations
reviews of client profiles for Contribute towards CPI
renewal.

Know Your Customer - Grade H (Support track)
Role Summary
Prepare in-depth, detailed risk profiles for complex clients and conduct periodic reviews of client profiles for renewal. Perform
Choice point scans for all the new added names in client profiles. Serve in a team lead role for AML/KYC/Prevention
support staff.
Competencies
Basic knowledge of Finance, Uses strong communication skills N/A Proficiency in MS Office
taxation, Good knowledge of to engage in challenging (excel in particular)
AML/KYC & US KYC regulations, conversations with internal Ability to create functional
Understanding of risks related to stakeholders and complex external utility tools.
types of entities. Prepares in-depth, clients in order to support an
detailed risk profiles for complex accurate data-gathering process
clients and conducts periodic and resolve any open issues.
reviews of client profiles for Email and Telephone Etiquettes
renewal. Analytical Skills
Prioritization – Timely escalations

Know Your Customer - Grade I (Support track)
Role Summary
Serve as team lead for AML/KYC/Prevention support staff. Prepare in-depth, detailed risk profiles for the most complex clients
and conduct reviews of client profiles for renewal. Perform Choice point scans for all the newly added names in client profiles.
Direct day to day work of the assigned staff.
Competencies
Basic knowledge of Finance, Strong verbal and written People management skill. Proficiency in MS Office
taxation, Good knowledge of communication skills - Work allocation, Leave (excel in particular)
AML/KYC & US KYC regulations, Email and Telephone Etiquettes planning, backup Ability to create functional
Understanding of risks related to Analytical Skills planning, conflicts utility tools.
types of entities. Prepares in-depth, Prioritization – Time management & capacity Able to understand system
detailed risk profiles for complex Management planning etc. flow and connects. Capable
clients and conducts periodic Innovation & Problem solving Ensures Accountability - of identifying risks and gaps
reviews of client profiles for Change management Takes ownership of the in the process
onboarding & Renewal Interpersonal Skills funds
Timely escalations Drives Results
Builds Effective Teams
Developing Partnerships
Risk & control
Management ,

Know Your Customer - Grade J (PM track)
Role Summary
Manage a team of AML/KYC/Prevention staff assigned to research, prepare and review basic and complex client profiles for
clients that vary in risk and complexity. Coach and guide the assigned staff.
Competencies
Basic knowledge of Strong verbal and People management skill. - Proficiency in MS Office (excel in
Finance, taxation, Good written communication Work allocation, Leave particular)
knowledge of AML/KYC & skills planning, backup planning, Excellent knowledge of working on
US KYC regulations, Email and Telephone conflicts management & Mainframe systems and web based
Understanding of risks Etiquettes. capacity planning etc. systems.
related to types of entities. Interpersonal and Ensures Accountability - Takes Ability to create functional utility tools.
Prepares in-depth, detailed problem solving skills ownership of the funds Able to understand system flow and
risk profiles for complex Drives Results connects. Capable of identifying risks
clients and conducts Builds Effective Teams and gaps in the process Good
periodic reviews of client Developing Partnerships Risk knowledge of the End to End of Client
profiles for onboarding & & control Management , onboarding and Account Activation
Renewal Efficiency & Innovation

Know Your Customer - Grade K (PM track)
Qualification
Experience
Role Summary
Manage a large team of AML/KYC/Prevention staff assigned to research, prepare and review basic and complex client profiles
for clients that vary in risk and complexity.
Competencies
Basic knowledge of Finance, Good knowledge on Corporate actions. Excellent People Proficiency in MS Office
taxation, Good knowledge of Life cycle of trade. management skill. (excel in particular)
AML/KYC & US KYC Taxation methodologies applicable on conflicts management Excellent knowledge of
regulations, Understanding of securities in global markets. & capacity planning working on Mainframe
risks related to types of Good Knowledge of KYC documentation etc. systems and web based
entities. Prepares in-depth, Sound knowledge on Reconciliation Ensures Accountability systems.
detailed risk profiles for Good knowledge on Bonds & Shares. Drives Results Ability to create functional
complex clients and conducts Knowledge of tax filings. Manages a team of utility tools.
periodic reviews of client Understanding of FX transactions & its professionals, Able to understand system
profiles for onboarding & implications. including coaching, flow and connects. Capable
Renewal Excellent understanding of Tax Reclaims, performance of identifying risks and gaps
Capital Gain Tax and Tax Documentation. management and in the process Good
Good knowledge of the End to End of resource allocation. knowledge of the End to End
Asset Servicing business. of Client onboarding and
Account Activation

Client Activation
Global Tax Operations

Global Tax Operation - Grade E (Support track)
Role Summary
Provide entry-level support for the preparation and maintenance of tax records, returns, and reports for internal and/or external
clients.
Competencies
Basic understanding of securities Strong verbal and written NA Basic knowledge of MS

market, basic understanding of communication skills Office (excel in particular).
Corporate Actions Email and Telephone Etiquette Basic understanding of Gold
Tier and Doors. Good
understanding of custody
applications such as GSP,
CMS & PSS.

Global Tax Operation - Grade F (Support track)
Role Summary
Provide operational support for the preparation and maintenance of tax records, returns, and reports for internal and/or
external clients. Perform review of the completed tasks by the preparers.
Competencies
Understanding of securities market. Strong verbal and written N/A Proficiency in MS Office
Strong understanding of Corporate communication skills (excel in particular). Basic
Actions. Strong understanding of Email and Telephone Etiquettes. understanding of Gold Tier
Tax withholding rules and Interpersonal and problem and Doors. Good
terminologies. solving skills understanding of custody
applications such as GSP,
CMS & PSS.

Global Tax Operation - Grade G (Support track)
Role Summary
Provide advanced operational support for the preparation and maintenance of tax records, returns, and reports for internal
and/or external clients. Assign tasks to various processors in the team, monitor progress of the task and ensure timely
completion. Participate in UAT testing and provide necessary inputs for successful implementation.
Competencies
Understanding of securities Strong verbal and written People management skill. - Proficiency in MS Office
market. Strong understanding of communication skills Work allocation, Leave (excel in particular)
Corporate Actions. Strong Email and Telephone planning, backup planning, Ability to create functional
understanding of Tax withholding Etiquettes. Interpersonal conflicts management & utility tools.
rules and terminologies. Strong and problem solving skills capacity planning etc.
understanding of documentation Ensures Accountability - Takes
requirement for various account ownership of the funds
types and withholding criteria. Drives Results
Builds Effective Teams
Developing Partnerships Risk &
control Management ,

Global Tax Operations- Grade H (Support track)
Role Summary
Provide advanced operational support for the preparation and maintenance of tax records, returns, and reports for internal
and/or external clients. Direct the work of more junior colleagues and serve as a key escalation point.
Competencies
Systems
( Core/non-core)
Good knowledge of securities market, Strong verbal and written People management skill. - Proficiency in MS Office
Life cycle of trade, Taxation communication skills Work allocation, Leave (excel in particular)
methodologies applicable on securities Email and Telephone planning, backup planning, Good to have knowledge
in global markets. Etiquettes conflicts management & on custody applications
Sound knowledge on Reconciliation Analysis Skills capacity planning etc. like GSP, CMS, PSS,
Strong understanding of Corporate Prioritization – Time Ensures Accountability - Door's, Gains keeper.
Actions. Strong understanding of Tax Management Takes ownership of the Ability to create functional
withholding rules and terminologies. Innovation & Problem funds utility tools.
Strong understanding of solving Drives Results
documentation requirement for various Change management Builds Effective Teams
account types and withholding criteria. Interpersonal Skills Developing Partnerships
Timely escalations Risk & control Management ,

Global Tax Operations - Grade I (Support track)
Role Summary
Serve as team supervisor/manager for the day-to-day operations of a small to medium-sized Tax Reporting & Compliance
support team, overseeing work direction and technical assistance on complex matters.
Competencies
Good knowledge of securities Strong verbal and written People management Good knowledge on Life cycle of
market, communication skills skill. - Work allocation, trade.
Life cycle of trade, Taxation Email and Telephone Leave planning, backup Taxation methodologies
methodologies applicable on Etiquettes planning, conflicts applicable on securities in global
securities in global markets. Analysis Skills management & capacity markets.
Sound knowledge on Reconciliation Prioritization – Time planning etc. Sound knowledge on
Strong understanding of Corporate Management Ensures Accountability - Reconciliation.
Actions. Strong understanding of Innovation & Problem Takes ownership of the Knowledge of tax filings forms
Tax withholding rules and solving funds with IRS.
terminologies. Strong understanding Change management Drives Results Good knowledge of the End to
of documentation requirement for Interpersonal Skills Builds Effective Teams End of Client Activation.
various account types and Timely escalations Developing Partnerships Proficiency in MS Office (excel in
withholding criteria. Good Risk & control particular)
knowledge of the End to End of Management , Sound knowledge on custody
Client Activation. Efficiency & Innovation applications like GSP, CMS,
PSS, Door's, Gains keeper

Global Tax Operation - Grade J (PM track)
Role Summary
Coordinate workflow for a team responsible for preparing and maintaining tax and regulatory records, returns, and reports for
internal and/or external clients. Assist clients with development of tax and other regulatory strategies and make
recommendations for compliance with regulations.
Competencies
Systems
( Core/non-core)
In depth Understanding of Global Tax Good knowledge on Corporate actions. People management Proficiency in MS
Reporting and KYC functions. Life cycle of trade. skill. - Work allocation, Office (excel in
Excellent written and oral Taxation methodologies applicable on Leave planning, backup particular)
communication skills. securities in global markets. planning, conflicts Ability to create
Good MS office knowledge Good Knowledge of KYC management & capacity functional utility
Team handling experience documentation planning etc. tools.
Able to analyze complex data Sound knowledge on Reconciliation Ensures Accountability -
Presentation skills. Good knowledge on Bonds & Shares. Takes ownership of the
Understanding of the BNYM systems Knowledge of tax filings. funds
that is used in the processes Understanding of FX transactions & its Drives Results
Able to multitask implications. Builds Effective Teams
Quick decision maker Excellent understanding of Tax Developing Partnerships
Ability to investigate, analyze and Reclaims, Capital Gain Tax and Tax Risk & control
Resolves complex client Documentation. Management
onboarding/transition/conversion Good knowledge of the End to End of Efficiency & Innovation.
issues. Asset Servicing business.

Global Tax Operation - Grade K (PM track)
Qualification
Experience
Role Summary
Manage a team responsible for preparing and maintaining tax and regulatory records, returns, and reports for internal and/or
external clients. Assist clients with development of tax and other regulatory strategies and make recommendations for
compliance with regulations..
Competencies
Systems (
Core/non-core)
In depth Understanding of Global Tax Good knowledge on Corporate actions. Excellent People Proficiency in MS
Reporting and KYC functions. Life cycle of trade. management skill. Office (excel in
Excellent written and oral communication Taxation methodologies applicable on conflicts management particular)
skills. securities in global markets. & capacity planning Good to have
Good MS office knowledge Good Knowledge of KYC documentation etc. knowledge on
Team handling experience Sound knowledge on Reconciliation Ensures Accountability custody
Able to analyze complex data Good knowledge on Bonds & Shares. Drives Results applications like
Presentation skills. Knowledge of tax filings. Manages a team of GSP, CMS, PSS,
Understanding of the BNYM systems Understanding of FX transactions & its professionals, including Door's,
that is used in the processes implications. coaching, performance MELDEMS, CIT
Able to multitask Excellent understanding of Tax management and tool.
Quick decision maker Reclaims, Capital Gain Tax and Tax resource allocation.
Ability to investigate, analyze and Documentation.
Resolves complex client Good knowledge of the End to End of
onboarding/transition/conversion issues Asset Servicing business.

Client Activation
Account Activation

Account Activation - Grade E (Support track)
Role Summary
Supports client onboarding/transition/conversion process by performing a set of basic operational activities. Responsible for set-
up of new clients & maintenance of existing clients on a standard system. Recognizes and solves typical problems that can
occur in own work area by evaluating and selecting solutions from established operating procedures
Competencies
Quick learner Strong verbal and written NA Proficiency in MS Office

Basic understanding of account communication skills (excel in particular)
opening process. Email and Telephone Etiquettes Good to have knowledge on
Decent communication skills. Analysis Skills custody applications like
Decent MS office knowledge Time Management GSP, CMS & IAS
Problem solving
Change management
Timely escalations

Account Activation - Grade F (Support track)
Role Summary
Supports more complex client onboarding/transition/conversion process through a diverse set of operational activities.
Responsible for set-up of new clients & maintenance of existing clients on various systems. Provides solutions to problems in
situations that are atypical or occur infrequently based on existing precedents or procedures.
Competencies
Quick learner Strong verbal and written Provides guidance to Proficiency in MS Office
Basic understanding of account communication skills less experienced staff. (excel in particular)
opening process. Email and Telephone Work allocation, Good knowledge of working
Good communication skills. Etiquettes Developing on Mainframe systems and
Decent MS office knowledge Analysis Skills Partnerships, Takes web based systems.
Prioritization – Time ownership. Proactive
Management and innovative. Ability to
Innovation & Problem solving perform in a team
Change management environment by
Interpersonal Skills enhancing collaboration
Timely escalations

Account Activation - Grade F (Support track)
Role Summary
Provides support for improving technology use in business areas for projects and technology that are of moderate complexity.
Coordinates business technology activities with internal partners. Uses documented processes and guidelines to test
applications and/or systems of moderate complexity. Conducts basic test preparation and test execution activities.
Competencies
Proficiency in MS Office, Strong verbal and written Provides guidance to less Proficiency in MS Office,
database, VB SQL, understanding communication skills experienced Business database, VB SQL,
of BNYM systems and its backend Email ,Analysis Skills Technology Liaison understanding of BNYM
table logics. Able to trouble shoot, Prioritization – Time Support staff. systems and its backend
good data analysis skills. Management table logics.
Problem solving
Change management
presentation and reporting

Account Activation - Grade G (IC track)
Role Summary
Under significant direction, conducts assigned operational & data analysis activities related to client
onboarding/transitions/conversions. Prepares for and onboard clients, opens and closes accounts and/or analyzes, and reviews
incoming or outgoing data for accurate translation to platform. Responsible for the daily workflow of operational and data
analysis, monitoring each component of the transition/conversion including data requirements, regulatory and compliance
impact and data transfer, coordination with third-parties.
Competencies
Quick learner Strong verbal and written People management skill. - Proficiency in MS Office
Basic understanding of communication skills Work allocation, Leave (excel in particular)
account opening process. Email and Telephone Etiquettes planning, backup planning, Excellent knowledge of
Good communication skills. Analysis Skills conflicts management & working on Mainframe
Decent MS office knowledge Prioritization – Time capacity planning etc. systems and web based
Ability to analyze data. Management Ensures Accountability - Takes systems.
Innovation & Problem solving ownership of the funds Ability to create functional
Change management Drives Results utility tools.
Interpersonal Skills Builds Effective Teams
Timely escalations Developing Partnerships

Account Activation - Grade G (Support track)
Role Summary
Provides support for improving technology use in business areas for projects and technology that are of higher complexity.
Reviews work of more junior colleagues and provides technical assistance on complex matters. Coordinates business
technology activities with internal partners. Uses documented processes and guidelines to test applications and/or systems of
higher complexity. Conducts test preparation and test execution activities and reviews work of more junior colleagues. Tracks
data and general technology requirements from businesses or functional areas for project of greater scope or complexity.
Provides data and information to team members, as needed .May train users on new or enhanced applications and/or systems
that are more straightforward in nature.
Competencies
Quick learner Strong verbal and written Provides guidance to less Proficiency in MS Office,
Proficiency in MS Office, database, communication skills experienced Business database, VB SQL,
VB SQL, understanding of BNYM Email ,Analysis Skills Technology Liaison understanding of BNYM
systems and its backend table Prioritization – Time Support staff. systems and its backend
logic. Able to trouble shoot, good Management table logics.
data analysis skills. Problem solving
Change management

Account Activation - Grade H (IC track)
Role Summary
Works directly with client services to open new accounts and works with client and internal parties. Ability to Lead project
management activities for onboarding/transitions/conversions such as reporting, planning, issue / risk tracking, Etc. Provides
guidance to less experienced colleagues as needed, allocates work to and monitors the work quality of others assigned to the
client. May have people management responsibilities.
Competencies

Quick learner Strong verbal and written Provides guidance to less Proficiency in MS Office
Basic understanding of account communication skills experienced staff. (excel in particular)
opening process. Email ,Analysis Skills Allocates work and Excellent knowledge of
Good communication skills. Prioritization – Time monitors work quality. working on Mainframe
Decent MS office knowledge Management Responsible for achieving systems and web based
Ability to analyze data. Problem solving team objectives. systems.
Change management Ability to create functional
presentation and reporting utility tools
Leads Projects related client
onboarding and tax

Account Activation - Grade I (Support track)
Role Summary
As a Team Lead provides guidance to less experienced colleagues. Allocates work to and monitors the work quality of others
assigned to the client. Suggests process improvements based on post-mortem transition analysis. Ensures all SLA's are met,
Responsible for complex, mature and/or global clients or more complex platforms; contributes to the achievement of team and
area objectives.
Competencies
Quick learner Strong verbal and written People management skill. - Work Proficiency in MS Office
Understanding of account communication skills allocation, Leave planning, backup (excel in particular)
opening, maint, closing Email and Telephone planning, conflicts management & Excellent knowledge of
process. Etiquettes capacity planning etc. working on Mainframe
Good communication skills. Analysis Skills Ensures Accountability - Takes systems and web based
Good MS office knowledge Prioritization – Time ownership of the funds systems.
Ability to analyze data. Management Drives Results Ability to create functional
Team handling experience Innovation & Problem Builds Effective Teams utility tools.
Able to analyze complex data solving Developing Partnerships ,recruiting Able to understand system
presentation skills. Change management ,directs and reviews the work of flow and connects. Capable
basic understanding of the Interpersonal Skills client, prepares performance of identifying risks and gaps
BNYM systems that is used the Timely escalations. reviews and provides ongoing in the process
process. Team management feedback to staff. Develop and
Able to multitask Influencing skills contributes to the achievement of
Good knowledge of the End to presentation and reporting team objectives
End of Client Activation.

Account Activation - Grade I (IC track)
Role Summary
Analyzes and defines business requirements and functional or operational specifications. Participates in development of the
functional design and user documentation by analyzing business process flows or client requests and identifying changes.
Gathers information and provides analysis of business issues or client feedback for a specific function or application. Trains
users on new or enhanced applications and/or systems that are more straightforward in nature. Supports testing of new or
enhanced applications and/or systems. Tasks include case development, requirement traceability analysis, test preparation,
script writing, and functional test execution. Identifies areas for improvement and works with technology teams to improve
applications for business use.
Competencies
Quick learner Strong verbal and written Ensures Accountability - Proficiency in MS Office,
Good communication skills. communication skills Takes ownership, Drives database, VB SQL,
Able to analyze complex data Email and Telephone Etiquettes Results understanding of BNYM
presentation skills. Analysis Skills general knowledge of systems and its backend
Able to multitask. Proficiency in MS Prioritization – Time regulatory and legal table logics.
Office, database, VB SQL, Management requirements and BNY
understanding of BNYM systems Innovation & Problem solving Mellon corporate policies
and its backend table logics. Able Change management involving risk and control
to trouble shoot, good data Email ,Analysis Skills to support the
analysis skills. Prioritization – Time development of improved
Management business processes
Innovation & Problem solving through technology.

Account Activation - Grade J (PM track)
Role Summary
Responsible for overall success by ensuring client satisfaction through the monitoring of project quality and efficiency as well as
the direct client experience. Provides consultative support of complex situations for internal and external clients. Provides
leadership and recommendations for onsite client support and training to assist with documentation, quality review and
submission of documents. Leads project activities for the onboarding/transition/conversion Identifies significant gaps or quality
issues in transition processes and makes recommendations for improvement. Reviews control reports to effectively
mitigate risks.
Competencies
In depth Understanding of account Strong verbal and written Manages a team of Proficiency in MS Office
opening, maint, closing process. communication skills support staff and (excel in particular)
Excellent written and oral Email and Telephone Etiquettes professionals, Excellent knowledge of
communication skills. Analysis Skills including coaching, working on Mainframe
Good MS office knowledge Prioritization – Time performance systems and web based
Team handling experience Management management and systems.
Able to analyze complex data Innovation & Problem solving resource allocation. Ability to create functional
Presentation skills. Change management utility tools.
Understanding of the BNYM systems Interpersonal Skills Able to understand system
that is used the process. Timely escalations. flow and connects. Capable
Able to multitask Team management of identifying risks and gaps
Quick decision maker Influencing skills in the process
Ability to investigate, analyze and presentation and reporting
Resolves complex client Decision Maker
onboarding/transition/conversion issues. Develop others

Account Activation - Grade K (PM track)
Qualification
Experience
Role Summary
Responsible for overall success by ensuring client satisfaction through the monitoring of project quality and efficiency as well as
the direct client experience. Provides consultative support of complex situations for internal and external clients. Provides
leadership and recommendations for onsite client support and training to assist with documentation, quality review and
submission of documents. Leads project activities for the onboarding/transition/conversion Identifies significant gaps or quality
issues in transition processes and makes recommendations for improvement. Reviews control reports to effectively
mitigate risks.
Competencies
Systems
( Core/non-core)
In depth Understanding of account Strong verbal and written Excellent People Excellent knowledge of
opening, maint, closing process. communication skills management skill. working on Mainframe
Excellent written and oral communication Email and Telephone Etiquettes conflicts management systems and web based
skills. Analysis Skills & capacity planning systems. Capable of
Good MS office knowledge Prioritization – Time etc. identifying risks and gaps
Team handling experience Management Ensures in the process.Good
Able to analyze complex data Innovation & Problem solving Accountability knowledge of the End to
Presentation skills. Change management Drives Results End of Client onboarding
Understanding of the BNYM systems that Interpersonal Skills Manages a team of and Account Activation
is used the process. Timely escalations. professionals,
Able to multitask Team management including coaching,
Quick decision maker Influencing skills performance
Ability to investigate, analyze and Resolves presentation and reporting management and
complex client Decision Maker resource allocation.
onboarding/transition/conversion issues. Develop others

Client Activation
Global Tax Services

Global Tax Services - Grade E (Support track)
Role Summary
Provides entry-level support for the preparation and maintenance of tax records, returns, and reports for internal and/or
external clients.
Competencies
Good knowledge on Corporate Strong verbal and written NA Proficiency in MS Office

actions. communication skills (excel in particular)
Life cycle of trade. Email and Telephone Etiquettes Good to have knowledge on
Taxation methodologies applicable Prioritization – Time custody applications like
on securities in global markets. Interpersonal Skills GSP, CMS & PSS.
Sound knowledge on Timely escalations
Reconciliation
Good knowledge on Bonds &
Shares.
Knowledge of tax filings.

Global Tax Services - Grade F (Support track)
Role Summary
Provides operational support for the preparation and maintenance of tax records, returns, and reports for internal and/or
external clients.
Provides assistance in client queries related to tax records, returns, and reports for internal and/or external clients.
Competencies
Good knowledge on Corporate Strong verbal and written NA Proficiency in MS Office

actions. communication skills (excel in particular)
Life cycle of trade. Email and Telephone Etiquettes Good to have knowledge on
Taxation methodologies applicable Prioritization – Time custody applications like
on securities in global markets. Interpersonal Skills GSP, CMS & PSS.
Sound knowledge on Timely escalations
Reconciliation Innovation and Risk
Good knowledge on Bonds & Management.
Shares. Good to have a reviewer/verifier
Knowledge of tax filings. role in the past.

Global Tax Services - Grade G (Support track)
Role Summary
external clients.
Conducts trainings for the new joiners and existing ones.
Provides solutions to the complex client requirements related to Tax reclaim, CGT and reporting.
Competencies
Good knowledge on Corporate actions. Strong verbal and written NA Proficiency in MS Office
Life cycle of trade. communication skills (excel in particular)
Taxation methodologies applicable on Email and Telephone Etiquettes Good to have knowledge on
securities in global markets. Analysis Skills custody applications like
Sound knowledge on Reconciliation Prioritization – Time Management GSP, CMS, PSS, Door's,
Good knowledge on Bonds & Shares. Innovation & Problem solving MELDEMS, CIT tool.
Knowledge of tax filings. Change management
Understanding of FX transactions & its Interpersonal Skills
implications. Timely escalations

Global Tax Services - Grade H (IC track)
Role Summary
external clients.
Looks into all the Rejections and Cancellations of Tax reclaims in various markets. Understands the complex requirements of
the rejections and ensuring the client services team are debriefed about the same.
Assists with performance of calculations for internal and/or external clients and completion of tax reporting or other regulatory
filing requirements to ensure compliance with state and national regulations.
Competencies
Good knowledge on Corporate Strong verbal and written People management Proficiency in MS Office
actions. communication skills skill. (excel in particular)
Life cycle of trade. Email and Telephone Etiquettes Work allocation Good to have knowledge on
Taxation methodologies applicable on Analysis Skills Leave planning custody applications like
securities in global markets. Prioritization – Time Management backup planning, GSP, CMS, PSS, Door's,
Sound knowledge on Reconciliation Innovation & Problem solving Takes ownership of MELDEMS, CIT tool.
Good knowledge on Bonds & Shares. Change management the function
Knowledge of tax filings. Interpersonal Skills Drives Results
Understanding of FX transactions & Timely escalations
its implications.

Global Tax Services - Grade H (IC track)
Role Summary
Participates in the development of functional or operational requirements; tests and trains users on applications with guidance
from more experienced colleagues. Interfaces with all areas of IT on behalf of the business to resolve IT matters and improve
business processes.
Competencies
Good knowledge on Corporate actions. Strong verbal and written NA Proficiency in MS Office
Life cycle of trade. communication skills (excel in particular)
Taxation methodologies applicable on Email and Telephone Etiquettes Good to have knowledge on
securities in global markets. Analysis Skills custody applications like
Sound knowledge on Reconciliation Prioritization – Time Management GSP, CMS, PSS, Door's,
Good knowledge on Bonds & Shares. Innovation & Problem solving MELDEMS, CIT tool.
Knowledge of tax filings. Change management
Understanding of FX transactions & its Interpersonal Skills
implications. Timely escalations
Good understanding of Tax Reclaims,
Capital Gain Tax and Tax Documentation.

Global Tax Services - Grade I (Support track)
Role Summary
Serves as team supervisor/manager for the day-to-day operations of a small to medium-sized Tax Reporting & Compliance
support team, overseeing work direction and technical assistance on complex matters.
Competencies
Good knowledge on Corporate Strong verbal and written People management Good knowledge on Corporate
actions. communication skills skill. actions.
Life cycle of trade. Email and Telephone Work allocation Life cycle of trade.
Taxation methodologies applicable Etiquettes Leave planning Taxation methodologies applicable
on securities in global markets. Analysis Skills backup planning, on securities in global markets.
Sound knowledge on Reconciliation Prioritization – Time conflicts management & Sound knowledge on Reconciliation
Good knowledge on Bonds & Management capacity planning etc. Good knowledge on Bonds &
Shares. Innovation & Problem Ensures Accountability Shares.
Knowledge of tax filings. solving Drives Results Knowledge of tax filings.
Understanding of FX transactions & Change management Builds Effective Teams Understanding of FX transactions &
its implications. Interpersonal Skills Developing its implications.
Excellent understanding of Tax Timely escalations Partnerships. Excellent understanding of Tax
Reclaims, Capital Gain Tax and Tax Reclaims, Capital Gain Tax and Tax
Documentation. Documentation.
Good knowledge of the End to End Good knowledge of the End to End
of Client Activation. of Client Activation.

Global Tax Services - Grade J (Support track)
Role Summary
Coordinates workflow for a team responsible for preparing and maintaining tax and regulatory records, returns, and reports for
internal and/or external clients. Assists clients with development of tax and other regulatory strategies and makes
recommendations for compliance with regulations.
Competencies
Good knowledge on Corporate Strong verbal and People management Good knowledge on Corporate
actions. written skill. actions.
Life cycle of trade. communication skills Work allocation Life cycle of trade.
Taxation methodologies applicable on Email and Telephone Leave planning Taxation methodologies applicable on
securities in global markets. Etiquettes backup planning, securities in global markets.
Sound knowledge on Reconciliation Analysis Skills conflicts management & Sound knowledge on Reconciliation
Good knowledge on Bonds & Shares. Prioritization – Time capacity planning etc. Good knowledge on Bonds & Shares.
Knowledge of tax filings. Management Ensures Accountability Knowledge of tax filings.
Understanding of FX transactions & its Innovation & Drives Results Understanding of FX transactions & its
implications. Problem solving Builds Effective Teams implications.
Excellent understanding of Tax Change Developing Excellent understanding of Tax
Reclaims, Capital Gain Tax and Tax management Partnerships. Reclaims, Capital Gain Tax and Tax
Documentation. Interpersonal Skills Documentation.
Good knowledge of the End to End of Timely escalations Good knowledge of the End to End of
Client Activation. Client Activation.

Global Tax Services - Grade K (PM track)
Qualification
Experience
Role Summary
Manages a team responsible for preparing and maintaining tax and regulatory records, returns, and reports for internal and/or
external clients. Assists clients with development of tax and other regulatory strategies and makes recommendations for
compliance with regulations.
Competencies
Good knowledge on Corporate Strong verbal and Excellent People Good knowledge on Corporate
actions. written management skill. actions.
Life cycle of trade. communication skills conflicts management & Life cycle of trade.
Taxation methodologies applicable on Email and Telephone capacity planning etc. Taxation methodologies applicable
securities in global markets. Etiquettes Ensures Accountability on securities in global markets.
Sound knowledge on Reconciliation Analysis Skills Drives Results Sound knowledge on
Good knowledge on Bonds & Shares. Prioritization – Time Builds Effective & Efficient Reconciliation
Knowledge of tax filings. Management Teams Good knowledge on Bonds &
Understanding of FX transactions & Innovation & Problem Developing Partnerships Shares.
its implications. solving with all the stakeholders. Knowledge of tax filings.
Excellent understanding of Tax Change management Understanding Industry Understanding of FX transactions
Reclaims, Capital Gain Tax and Tax Interpersonal Skills wide best practices. & its implications.
Documentation. Timely escalations Ensuring smooth transitions Excellent understanding of Tax
Good knowledge of the End to End of & transformations. Reclaims, Capital Gain Tax and
Asset Servicing business. Risk & control Tax Documentation.
Management. Good knowledge of the End to End
Efficiency & Innovation. of Asset Servicing business.

Transformation & Project Management

T&PM Business Overview
Reengineering : The Reengineering team helps simplify, streamline, digitize, and improve key CSD processes across
operational sites to drive efficiencies and cost effectiveness. We partner with operations to identify and prioritize improvements /
innovative ideas and help manage end-to-end delivery of these improvements & projects to achieve greater quality, productivity,
efficiency and risk goals.
Business Change Group: Responsible for executing against the business plan objectives and goals, managing the
governance and delivery of client orientated change on time, within agreed commercial terms and in line with stated
requirements and benefits.
Business Analyst: The Business Analysts team acts as the primary interface between technology and a specific
business/functional area for defined projects. We partner with internal or client business and technology groups and advise on
how to best address business issues, processes and opportunities through technology. We provide innovative business solutions
for every business need enabling the stakeholders to achieve operational excellence.
GDN :Global Delivery Network Team (GDN) oversees all business relocation proposals globally for new and existing business
growth. GDN Framework enabled Control Tower, establishing a single point of information collection, review and acceptance,
enabling a smoother and faster transition for functions being migrated. Key functions:
• Manage Location Strategy – Develop and govern long term strategic location strategy for the Bank
• Project Management support for all location strategy, Adds to staff & New Business projects globally
• Change Management & Business Analytics and Reporting on headcount movement and financials
• Design, development, support & maintenance of ‘in-house’ CTA tool
The Control Tower process collects the required information, engages the relevant stakeholders to validate the proposal and
project manages the move through to completion. By centralizing the relocation planning and decisions under one team, BNY
Mellon is better able to make enterprise-wide decisions regarding location strategy that will benefit the company. In addition, BNY
Mellon businesses benefit from the strong governance model, financial and project level reporting, and better coordination with
shared service partners and the Global Delivery Centers.
Content Services: The Content Services team supports your business goals by creating content-based solutions. We offer
businesses the flexibility to choose the best solutions from a range of artifacts, which we customize to address your business
objectives and audience. Be it capturing complex business processes and technical information, standardizing content and
workflows, developing documents for regulators and auditors, creating effective training modules and SMART SOPs for your
department – we are the partner that you can trust.

T&PM Career Matrix (1/2)
Job Complexity
Group Manager
Principal Group Manager (L) – PM
(L) - IC (L) - PM
Lead Manager
Lead Manager – Senior Specialist (K) –PM
Technical Process (K) - IC
Documentation
(K) – PM Specialist-BA Specialist-PM
Manager – (J) - IC (J) - IC
Technical Process
Documentation Lead Analyst
(J) – PM (I) - IC
Lead Analyst – Lead Analyst
Technical Process (I) - IC
Documentation
(I) – IC Senior Analyst
Sr. Analyst – (H) - IC T&PM – Business Change
Technical Process
Group
Legen
Documentation Existing Roles In India
(H) – IC
T&PM – Global Delivery
d
T&PM – Content Network Roles exists only outside India
Services
Process/ Product Complexity *IC – Individual Contributor;
PM - Management
Navigation
Functional

Cross


T&PM Career Matrix (2/2)
Executive Manager,
Business Technology
Liaison (S) – PM
Senior Principal, Business Senior Group Manager, Business
Senior Principal, Business Senior Group Manager, Process Re-Engineering (M) - IC Process Re-Engineering (M) - PM
Technology Liaison (M) – Business Technology
IC Liaison (M) – PM
Principal, Business Process Re- Group Manager, Business
Principal, Business Group Manager, Business Engineering (L) - IC Process Re-Engineering (L) – PM
Technology Liaison (L) – Technology Liaison (L) –
IC PM Senior Specialist, Business
Senior Specialist, Business
Senior Specialist, Business Lead Manager, Business Process Improvement/Best
Process Re-Engineering (K) - IC
Technology Liaison (K) – Technology Liaison (K) – Practices (K) - IC
Job Complexity
IC PM Specialist, Business Process

Specialist, Business Process
Specialist, Business Improvement/Best Practices (J) -
Re-Engineering (J) - IC
Technology Liaison (J) – IC
IC Lead Analyst, Business Process
Improvement/Best Practices (I) -
Lead Analyst – Business IC
Technology Liaison (I) – IC
Senior Analyst, Business Process
Sr. Analyst – Business Improvement/Best Practices (H) -
Technology Liaison (H) – IC
IC Analyst, Business Process
Improvement/Best Practices (G) -
IC
T&PM – Business Analyst T&PM – Reengineering
Legen
d
Process/ Product Complexity *IC – Individual Contributor;

PM - Management
Navigation
Functional

Cross


T&PM Job Code Family (1/2)

T&PM – Content Services
70302 Senior Analyst, Content Services Individual Contributor
70301 Lead Analyst, Content Services Individual Contributor
70300 Manager, Content Services Management
70299 Lead Manager, Content Services Management
T&PM – Global Delivery Network
70187 Senior Analyst, Program and Project Management Individual Contributor
Lead Analyst, Business Process Improvement/Best
Practices
Senior Specialist, Program and Project
Management
70183 Principal, Program and Project Management Individual Contributor
Group Manager, Program and Project
Management
T&PM – Business Change Group
70287 Senior Analyst, Global Business Change Individual Contributor
70286 Lead Analyst, Global Business Change Individual Contributor
70285 Specialist, Global Business Change Individual Contributor
70284 Senior Specialist, Global Business Change Individual Contributor
70283 Principal, Global Business Change Individual Contributor
70282 Senior Principal, Global Business Change Individual Contributor
70281 Manager, Global Business Change Management
70280 Lead Manager, Global Business Change Management

T&PM Job Code Family (2/2)

T&PM – Business Change Group
70279 Group Manager, Global Business Change Management
70278 Senior Group Manager, Global Business Change Management
70277 Executive Manager, Global Business Change Management
T&PM – Business Analyst
70169 Lead Analyst, Business Technology Liaison Individual Contributor
70168 Specialist, Business Technology Liaison Individual Contributor
70167 Senior Specialist, Business Technology Liaison Individual Contributor
70166 Principal, Business Technology Liaison Individual Contributor
70165 Senior Principal, Business Technology Liaison Individual Contributor
T&PM – Reengineering
Analyst, Business Process Improvement/Best
Practices
Senior Analyst, Business Process
Improvement/Best Practices
Lead Analyst, Business Process Improvement/Best
Practices
70262 Specialist, Business Process Re-Engineering Individual Contributor
Senior Specialist, Business Process Re-
Engineering
70260 Principal, Business Process Re-Engineering Individual Contributor
70258 Group Manager, Business Process Re-Engineering Management

T&PM– Cross Functional Career Matrix
Instructions
Processes under T&PM
Asset Servicing – DMA Asset Servicing – BP&A

Asset Servicing – BO-BM

further details
Click on “T&PM” in cross-

Content Global Delivery back to this page
Services Network
Business
Business Change
Analyst Group
HedgeMark - Business Analyst Asset Servicing – DMA
Reengineering
Asset Servicing – BO-BM
All Business functions *
* Employees from Reengineering can fit in all processes in Operations & Asset Servicing

Reengineering

T&PM – Reengineering - Grade G (IC track)
Job Title Analyst, Business Process Improvement/Best Practices

Qualification Bachelor’s degree (BBA/Commerce) required.
0-3 years of total work experience preferred. Experience in Operations, Business Analysis or Technology
Experience
preferred.
Role Summary
With guidance, analyzes the requirements for business process improvement. Confirms conclusions drawn from analyses with
more senior team members. Assist with project management of implementation. Handles project management for partial
portions of small projects. Projects may include analyses of requirements around transitioning businesses from high-cost to
low-cost resource options, modeling of changes across businesses, analyses of location strategy, etc. Works mainly with
internal clients but may also work with more senior team members to assist external clients with process changes.
Competencies
• Experience in Banking / Financial • Strong verbal and written • No direct reports • Proficiency in MS Office
industries communication skills (excel in particular),
• Should be innovative, with a fair • Stakeholder management and Minitab, Tableau
knowledge on the Quality tools, excellent in communication /
applications and techniques presentation skills.
• Certified Lean SS Green Belt • Analytical Skills

T&PM – Reengineering - Grade H (IC track)
Job Title Senior Analyst, Business Process Improvement/Best Practices

Qualification Bachelor’s degree (BBA/Commerce) required.
Experience
preferred.
Role Summary
Independently analyzes and defines requirements for business process improvement, uses own judgement when determining
a plan of action and leads best practices initiatives in the implementation of moderate-sized, full scale projects or portions of
large, complex projects. Reviews process improvement conclusions with more senior team members to confirm accuracy.
Projects may include analysis of requirements around transitioning businesses from high cost to low cost resource options,
modeling of changes across businesses, analysis of location strategy, etc. Works mainly with internal clients but also assists
external clients with small scale process changes.
Competencies
• Certified Lean SS Green Belt / Black • Analytical Skills
Belt • Good Interpersonal skills

T&PM – Reengineering - Grade I (IC track)
Job Title Lead Analyst, Business Process Improvement/Best Practices

Qualification Bachelor’s degree (BBA/Commerce) required. Graduate degree preferred.
Experience
preferred.
Role Summary
large, complex projects. Projects may include analyses of requirements around transitioning businesses from high cost to low
cost resource options, modeling of changes across businesses, analysis of location strategy, etc. Works mainly with internal
clients, but also assists external clients with moderately complex process changes.
Competencies
• Certified Lean SS Black Belt • Analytical Skills

T&PM – Reengineering - Grade J (IC track)
Job Title Specialist, Business Process Re-Engineering

Qualification
Advanced/graduate degree preferred.
3-5 years of total work experience preferred. Experience in securities, financial products and/or the finance
Experience
industry preferred. Six Sigma Green Belt and PMP certification preferred.
Role Summary
Acts as resource for clients to develop process improvement programs based on their business strategy. Projects are typically
localized. Partners with and supports more experienced consultants to develop breadth of skills including business process
assessment and documentation, change management, and project management. Helps drive adoption and utilization of
business process re-engineering solutions in collaboration with other team members. Conducts relevant research and
analyses on business segment, competitive landscape and industry environment. Establishes working relationships with
related work groups across the firm.
Competencies
• Experience in Banking / Financial • Strong verbal and written • No direct reports. • Proficiency in MS Office
industries communication skills Typically leads a small (excel in particular),
• Should be innovative, with a fair • Stakeholder management and project team to Minitab, Tableau
knowledge on the Quality tools, excellent in communication / accomplish results.
• Certified PMP (preferred) • Good Interpersonal skills
• Certified Scrum Master (preferred)

T&PM – Reengineering - Grade K (IC track)
Job Title Senior Specialist, Business Process Re-Engineering

Qualification
Experience
industry preferred. Six Sigma Black Belt and PMP certification preferred.
Role Summary
Acts as resource for clients to develop process improvement programs based on their business strategy. With limited
guidance, defines, designs and implements process improvement initiatives through cross-functional teams. Assigned to
moderately complex problems and/or a piece of an enterprise-wise initiative. Conducts research to inform and guide solutions.
Employs a client-focused approach to drive adoption and utilization of business process re-engineering solutions. Conducts
analyses on business segments, competitive landscape and industry environment to determine process recommendations and
impact analysis.
Competencies
industries communication skills Leads a project team to (excel in particular),
• Should be innovative, with a fair • Stakeholder management and accomplish results. Minitab, Tableau
• Certified PMP (Preferred) • Good Interpersonal skills
• Certified Scrum Master (Preferred)

T&PM – Reengineering - Grade L (IC track)
Job Title Principal, Business Process Re-Engineering

Qualification
Experience
industry preferred. Six Sigma Black Belt and PMP certification preferred.
Role Summary
Defines, designs and implements process improvement initiatives through cross-functional teams. Assigned to complex
problems with a large scope/breadth. Contributes to and leads process re-engineering strategy and process design across
multiple lines of business. Collaborates with leaders to design strategies to drive increased adoption and utilization of
solutions. Employs a client-focused, strategic approach to drive adoption and utilization of business process re-engineering
solutions. Conducts in-depth analyses on business segments, competitive landscape and industry environment to determine
process recommendations and impact analysis.
Competencies
industries communication skills Leads multiple project (excel in particular),
• Should be innovative, with a fair • Stakeholder management and teams to accomplish Minitab, Tableau
knowledge on the Quality tools, excellent in communication / results.
• Certified PMP • Good Interpersonal skills
• Certified Scrum Master (preferred)

T&PM – Reengineering - Grade L (Management)
Job Title Group Manager, Business Process Re-Engineering

Qualification
7-10 years of total work experience with at least 1-3 years in management preferred. Experience in
Experience securities, financial products and/or the finance industry preferred. Six Sigma Black Belt and PMP
certification preferred.
Role Summary
Manages teams of Business Process Re-engineering professionals and is responsible for planning, budgeting, staffing, and
managing large projects, generally one at a time. Establishes the strategic approach for business process re-engineering
within assigned team based on business goals. Guides staff in strategies for building adoption and utilization of re-engineering
initiatives and ensures that the team understands the competitive landscape and the industry environment. Has in-depth and
comprehensive knowledge of business strategies and process methodologies. Employs a client-focused, strategic approach to
drive adoption and utilization of business process re-engineering solutions. Conducts in-depth analyses on business
segments, competitive landscape and industry environment to determine process recommendations and impact analysis.
Competencies
• Experience in Banking / Financial • Strong verbal and written • Manages a team of • Proficiency in MS Office
industries communication skills professionals, including (excel in particular),
• Should be innovative, with a fair • Stakeholder management and coaching, performance Minitab, Tableau
knowledge on the Quality tools, excellent in communication / management and
applications and techniques presentation skills. resource allocation.
• Certified Lean SS Black Belt • Analytical Skills • Participates in the
• Certified PMP • Good Interpersonal skills interviewing process
• Certified Scrum Master (preferred) and keeps an eye out
for potential hires.

Business Analyst

T&PM – Business Analyst - Grade H (IC track)
Job Title Senior Analyst, Business Technology Liaison

Role Summary
Participates in the development of functional or operational requirements; tests and trains users on applications with guidance
from more experienced colleagues. Interfaces with all areas of IT on behalf of the business to resolve IT matters and improve
business processes.
Competencies
• Uses defined or documented • Strong verbal and written • No direct reports • Proficiency in MS Office,
processes to collect and define communication skills MS Visio, MS Project,
requirements from businesses or • Stakeholder management and iGrafx, JIRA,
functional areas. excellent in communication / Confluence, ALM
• Works with users and peers on presentation skills.
planning, implementing, and • Analytical Skills
supporting new or existing • Good Interpersonal skills
applications.
• Supports testing of new or enhanced
applications and/or systems.

T&PM – Business Analyst - Grade I (IC track)
Job Title Lead Analyst, Business Technology Liaison

Role Summary
Conducts credit analysis of more complex entities and projects to assist in determining client risk profile and improve BNY
Mellon investment performance.
Competencies
• Collects and defines business or • Strong verbal and written • No direct reports • Proficiency in MS Office,
functional requirements and communication skills MS Visio, MS Project,
translates them into functional • Stakeholder management and iGrafx, JIRA,
design, test planning, and user excellent in communication / Confluence, ALM
documentation processes. presentation skills.
• Participates in development of the • Analytical Skills
functional design and user • Good Interpersonal skills
documentation by analyzing
business process flows or client
requests and identifying changes.
• Gathers information and provides
analysis of business issues or client
feedback for a specific function or
application.

T&PM – Business Analyst - Grade J (IC track)
Job Title Specialist, Business Technology Liaison

Role Summary
Analyzes, defines and prioritizes business requirements and functional or operational specifications for moderate to large
projects of increasing complexity. Provides consultation to all areas of IT and business management for the application of
technology to support business opportunities and planning, implementation of cross-functional applications or systems. May
allocate/coordinate work within a team/project.
Competencies
• Develops project scope, objectives, • Strong verbal and written • No direct reports • Proficiency in MS Office,
constraints and assumptions. Plans communication skills MS Visio, MS Project,
and formulates aspects of • Stakeholder management and iGrafx, JIRA,
development proposals including the excellent in communication / Confluence, ALM
objective or purpose of projects, presentation skills.
existing applications that can be • Analytical Skills
utilized, and equipment and human • Good Interpersonal skills
resource requirements.
• Provides technical consultation
concerning business implications of
application development projects.
Supports testing of new or enhanced
applications and/or systems.

T&PM – Business Analyst - Grade K (IC track)
Job Title Senior Specialist, Business Technology Liaison

Role Summary
Consults with stakeholders to analyze, define, and prioritize business requirements and functional and operational
specifications for a functional work stream. Formulates and defines program scope and objectives for the work stream with
thorough understanding of business processes in a specific business domain. Represents the business to all areas of IT in
resolving issues and developing technology solutions. May lead staff on specific projects.
Competencies
• Elicits, challenges, and prioritizes • Strong verbal and written • No direct reports • Proficiency in MS Office,
business requirements; translates communication skills MS Visio, MS Project,
into functional design and use case • Stakeholder management and iGrafx, JIRA,
models. excellent in communication / Confluence, ALM
• Develops project scope and presentation skills.
identifies objectives, constraints, • Analytical Skills
issues, risks and assumptions for • Good Interpersonal skills
large programs. Is accountable for
overall delivery of assigned
functional work stream on a large-
scale program. Aligns resources,
seeks input from key constituents,
and manages others to achieve
desired results.

T&PM – Business Analyst - Grade L (IC track)
Job Title Principal, Business Technology Liaison

Role Summary
Consults with stakeholders to analyze, define, and prioritize business requirements and functional and operational
specifications for a functional work stream within a complex and strategic program. Formulates and defines program scope
and objectives for the work stream using an in-depth understanding of business processes in a specific business domain and
understanding of company operations. Represents the business to all areas of IT in resolving intricate issues and developing
technology solutions. May lead staff on specific projects.
Competencies

• Analyzes and designs an explicit set • Strong verbal and written • No direct reports • Proficiency in MS Office,
of disciplined actions to seek out the communication skills MS Visio, MS Project,
optimum value for both initial and • Stakeholder management and iGrafx, JIRA,
long-term investment in a new excellent in communication / Confluence, ALM
product and/or service offering. presentation skills.
• Reviews, analyzes, and evaluates • Analytical Skills
proposed products and services • Good Interpersonal skills
offerings, operational improvements,
and emerging technologies for
impact and leverage across the
business area.

T&PM – Business Analyst - Grade M (IC track)
Job Title Senior Principal, Business Technology Liaison

Experience 12+ years of total work experience preferred. Technical experience preferred.
Role Summary
Consults with stakeholders to analyze and prioritize business requirements and ensure link of strategic business objectives,
operations, and IT initiatives. Demonstrates expert understanding of company operations, strong and broad client
relationships within the company and across the industry, strategic understanding of technology, and proven ability to deliver
high-impact results. Represents the business to all areas of IT in resolving intricate issues and developing innovative
technology solutions. May lead staff on major projects.
Competencies

• Provides guidance to senior • Strong verbal and written • No direct reports • Proficiency in MS Office,
management on business and communication skills MS Visio, MS Project,
operating model options to • Stakeholder management and iGrafx, JIRA,
effectively support business strategy. excellent in communication / Confluence, ALM
Develops implementation/conversion presentation skills.
strategy and implementation plan. • Analytical Skills
Manages scope and change • Good Interpersonal skills
throughout the initiative utilizing
formal change control and
requirements traceability.
• Leads technical consultation
concerning business implications of
complex application development
projects.

Global Delivery Network

T&PM – Global Delivery Network - Grade H (IC track) Back to Career Matrix
Qualification Bachelor’s degree or the equivalent combination of education
Experience 3-5 years of total work experience preferred
Role Summary
Provides support for activities associated with project planning and management in straightforward projects using established
procedures to ensure that projects are completed on time, within budget and to internal client specifications.
Competencies
• Experience in Account Management • Strong verbal and written • No direct reports • Proficiency in MS Office
or Client Service Delivery preferred. communication skills (excel in particular)
• Should be innovative, with a fair • Stakeholder management and
knowledge on the Project excellent in communication /
Management tools, applications and presentation skills.
techniques • Analytical Skills

T&PM – Global Delivery Network - Grade I (IC track) Back to Career Matrix
Role Summary
large, complex projects.
Competencies
• Proactively consults core, moderately- • Strong verbal and written • No direct reports • Proficiency in .Net,
sized client accounts, ensuring communication skills SharePoint, JavaScript
continued client satisfaction and • Fair knowledge of project
listening for cues on client needs. management practices and
• Advises clients on best practices, techniques
organizational solutions and • Analytical Skills
regulatory changes. • Good Interpersonal skills

T&PM – Global Delivery Network - Grade K (IC track) Back to Career Matrix
Role Summary
Leads a wide array of activities associated with project planning and management to ensure that projects are completed on
time, within budget and to internal client specifications. May allocate/coordinate work within projects..
Competencies
• Experience in critical & complex • Strong verbal and written • No direct reports • Proficiency in MS Office,
Account Management, ensuring communication skills MS Visio & MS Project
continued client satisfaction and • Strong project management Plan
listening for cues on client needs. skills
• Advises on best practices, • Stakeholder management and
organizational solutions and excellent in communication /
regulatory changes. presentation skills.
• Manages client projects across • Analytical Skills
multiple business lines throughout the • Good Interpersonal skills
firm.

T&PM – Global Delivery Network - Grade L (IC track - Principal) Back to Career Matrix
Role Summary
Leads and provides some direction and guidance for a wide array of activities associated with project planning and
management to ensure that projects are completed on time, within budget and to internal client specifications.
Competencies
• Establishes the operating protocols • Strong verbal and written • No direct reports • Proficiency in MS Office,
for the Account Management function. communication skills MS Visio & MS Project
Ensures teams have required • Strong project management Plan
resources to execute their assigned skills
activities. • Stakeholder management and
• Collaborates with Relationship excellent in communication /
Management and Client Service presentation skills.
Delivery functions to ensure a • Analytical Skills
seamless client experience and • Good Interpersonal skills
coordinate levels of service across the
firm.

T&PM – Global Delivery Network - Grade L (IC track – Group Manager) Back to Career Matrix
Role Summary
Manages a medium to large-sized or multiple small teams of project managers who are the primary contact for internal clients
and groups within the organization for projects that are of medium scale. The team is responsible for end-to-end project
management activities such as project reporting, project planning, issue/risk identification and tracking, scope management,
estimation, client management, relationship management and other project documentation preparation..
Competencies
• Establishes the operating protocols • Strong verbal and written • Manages a large or • Proficiency in MS Office,
for the Account Management function. communication skills specialized team of MS Visio & MS Project
Ensures teams have required • Strong project management Account Managers or Plan
resources to execute their assigned skills multiple teams. Work is
activities. • Stakeholder management and primarily accomplished
• Collaborates with Relationship excellent in communication / through subordinate
Management and Client Service presentation skills. managers
Delivery functions to ensure a • Analytical Skills
seamless client experience and • Good Interpersonal skills
coordinate levels of service across the
firm.

Business Change Group

T&PM - BCG - Grade I (IC track) Back to Career Matrix
High school/secondary school or the equivalent combination of education and experience is required;
Qualification
bachelor’s degree preferred..
3-5 years of total work experience preferred; Governance, Project Management, experience or experience
Experience
within one or more of the asset servicing functions is preferred.
Role Summary
Delivers and implements small Global Business Change projects initiated by, or related to, external clients through the
provision of project management and/or business analysis and within set project parameters and deadlines. Incumbents are
gaining experience in change management/business analysis and are mastering the basics of the discipline and firm's
products/services. Provides the oversight and management of project governance standards and includes the oversight and
reporting of financial and revenue outcomes. Delivers and implements small Global Business Change projects within project
parameters and deadlines using Global Business Change documented processes. Adheres to Global Business Change
documented processes. Oversees compliance with procedures and processes and supports the Global Business Process
Change group with project set up and resource allocation. Supports management of database content, PPM, governance
queries and standard documentation. Records and captures key financial data in relation to revenue generation and group
overheads.
Competencies

• Asset Servicing business acumen • PMP/Prince 2 certification • No direct reports • Proficiency in MS Office
across one or more functions desirable • Individual contributors skills - Excel, Visio and
• Basic Project Management • Finance degree preferable accountable for end to Power point
experience • Attention to detail with good end delivery of client
verbal & written projects

T&PM - BCG - Grade J (IC track)- Project Managers Back to Career Matrix
Experience
Role Summary
Delivers and implements medium or moderately complex Global Business Change projects initiated by, or related to, external
clients through the provision of project management and/or business analysis and within set project parameters and deadlines.
Incumbents are experienced in change management/business analysis. Provides the oversight and management of project
governance standards and includes the oversight and reporting of financial and revenue outcomes. May be responsible for a
particular Client Change portfolio. Manages goals, risks, issues and resources and ensures QA process is
applied throughout each project/service lifecycle. Responsible for Senior Management, Financial and Board reporting
requirements. Delivers medium to moderately complex internal and external projects or parts of larger projects. Monitors
project process, risks and issues through weekly reports, CAIR log, project plans. Responsible for escalating issues to more
senior team members. Provides analytical expertise in support of project objectives. Participates in software and/or system
design, and testing of new or enhanced systems and applications.
Competencies
• A basic understanding is required of the • PMP/Prince 2 certification • No direct reports; may • Proficiency in MS Office
various functions within the Asset desirable provide guidance to less skills
Servicing business and how they fit • Excellent verbal and experienced team • MS Project preferable
together written communication members.
• Either previous involvement in change skills • Individual contributors
management/business analysis in • Stakeholder management accountable for end to
Waterfall or Agile methodologies or and presentation skills. end delivery of client
experience of working within one or more • Client handling skills projects
of the core Asset Servicing functions – • Problem solver with
Custody/Trustee, Transfer Agency & evidence of sound
Fund Accounting (either within BNYM or prioritization & time
outside) management skills

T&PM - BCG - Grade J (IC track)- Business Analyst Back to Career Matrix
Experience
Role Summary
Responsible for analyzing, defining and prioritizing the business requirements, functional specifications and operational
architecture for highly complex strategic, global programs. S/He leads definition of program scope and objectives for a key
functional area across all business, operations, and technology stakeholders by thoroughly understanding business processes
in a specific business domain. S/He has experience and business domain knowledge in the sophisticated, global capital
markets industry; including securities processing, custody, alternative investments (hedge funds/derivatives), clearance,
accounting, cash processing, reporting and/or brokerage areas. S/He can perform these functions for large-scale mission-
critical projects with minimal guidance. S/He works across multiple global internal and often external business and technology
groups on strategic programs, and is involved from initial strategy/planning and scope definition through to process design,
requirements development, testing, training and implementing of the solution. Considered an expert in testing with formal
experience in functional and UAT test planning, test case development and execution and provides oversight to the testing
Competencies
team and developers.
Competencies
• A basic understanding is required of the various • CBAP/Prince 2 • No direct reports; • Proficiency in MS
functions within the Asset Servicing business and certification may provide Office skills
how they fit together desirable guidance to less Basis understanding of
• Ability to synthesize and produce large-scale process • Excellent verbal and experienced team various accounting
design on behalf of internal business groups written members. platforms, Custody,
• Experiences with existing software and/or systems communication skills • Individual T&D and TA systems.
development processes to define and collect metrics • Stakeholder contributors .
and develop better processes to be used in the management and accountable for end
future. Actively influences software and/or systems presentation skills. to end delivery of
development process improvement initiatives • Client handling skills client projects
.

T&PM - BCG - Grade K (M track) Back to Career Matrix
5-7 years of total work experience preferred with at least 0-1 years in management preferred. Knowledge of
Experience
the various functions within financial services/asset servicing industry is preferred.
Role Summary
Manages a medium-sized team of experienced Global Business Change staff to successfully implement client and client-
related projects. Responsible for promoting the Global Business Change function. Has experience working with complex, high
quantity, contradictory information. Coaches and develops direct reports and manages performance, talent and career
development processes. Has a sound understanding of the commercial environment and competitors' products and is aware
of current regulatory and legal obligations of locations managed. Leads and controls medium sized team's change portfolio
with a variety of projects following all governance standards. Manages own projects or initiatives successfully within project
guidelines. May collaborate with other specialist functions to achieve project/program objectives and produce deliverables.
Complies with standard project process/implementation methods. Delivers quality business solutions within agreed timescales
and budgets, including post-implementation support. Manages project/program resource plans and roadmaps and prioritizes
team's workload and resources. Serves as an escalation point for issues raised by the team.
Competencies
• Strong understanding of various • Excellent verbal and written • Manages a small to • Experience of working
functions within Asset Servicing communication skills medium-sized team of across core
business • Strong Project Management Global Business Change functions- Custody
• Previous involvement in managing skills staff /Trustee, Transfer
complex projects or programs • Stakeholder management and Agency & Fund
presentation skills. Accounting (either
• Analytical ,Innovative within BNYM or outside)
• PMP/Prince 2 certification • Proficiency in MS Office
desirable skills. (Excel, Visio and
• Client handling skills Ppt, and MS Projects)

T&PM - BCG - Grade L (M track) Back to Career Matrix
7-10 years of total work experience preferred with at least 1-3 years in management preferred. Knowledge of
Experience
the various functions within financial services/asset servicing industry is preferred.
Role Summary
Leads and manages a large team of experienced Global Business Change staff to successfully implement client and client-
related projects. Responsible for promoting the Global Business Change function across the wider business. Has significant
experience working with highly complex, high quantity, often contradictory information. Coaches and develops direct reports
and manages performance, talent and career development processes. Has a sound understanding of the commercial
environment and competitors' products and ensures current regulatory and legal obligations of locations managed. Utilizes
strong analytical and communication skills, working independently, innovatively problem solving and is able to
effectively attain buy-in from others to drive solutions forward. Effectively builds relationships with internal teams, suppliers and
clients. Manages communication flow between all relevant parties involved in the project or program to report/receive reports
on progress, risks and issues. Consistently anticipates and manages client expectations. Manages a medium-sized to large
team of Global Business Change staff. Able to develop the Project and Change Management skills of others.
Competencies
• Previous experience in management • Excellent verbal and written • Team Management • Deep experience of
role leading large global teams communication skills • Conflict & Issue working across core
• Strong understanding of various • Strong Project Management Resolution functions -Custody
functions within Banking & Asset skills with effective • Mentorship & Coaching /Trustee, Transfer
Servicing business Stakeholder management and • Relationship Strategy Agency & Fund
• Previous involvement in managing presentation skills. Accounting (either
complex projects or programs • Mentorship within BNYM or outside)
• Analytical ,Innovative
• Client handling skills

Content Services

T&PM – Content Services - Grade H (IC track)
Job Title Senior Analyst – Content Services

Qualification Bachelor's degree or the equivalent combination of education and experience is required.
3-5 years of total work experience preferred; experience in financial services industry preferred. Experience
Experience
may also come from technology, software or manufacturing industries.
Role Summary
Documents business processes across less-complex BNY Mellon lines of business; drafts complete and standardized
materials and processes. Work is reviewed and approved by more senior team members. Projects may include development
of consistent client policy records, on-boarding documents and checklists..
Competencies
• Ability to compose all types of writing • Strong verbal and written • No direct reports • Proficient in Microsoft
for varied audiences on demand communication skills Word, Excel,
(required) • Stakeholder management and PowerPoint, Visio,
• Experience and skills with excellent in communication / Snag-IT, Captivate.
developing and/or maintaining on- presentation skills. (required)
line documents (required) • Analytical Skills
• Performs documentation of lower • Good Interpersonal skills
complexity technical processes and
clients.

T&PM – Content Services - Grade I (IC track)
Job Title Lead Analyst – Content Services

5-7 years of total work experience preferred; experience in financial services industry preferred. Experience
Experience
may also come from technology, software or manufacturing industries.
Role Summary
Independently documents business processes across all BNY Mellon lines of business; generates complete and standardized
materials and processes. May assist management with review of drafts from more junior team members. Projects may include
development of consistent client policy records, on-boarding documents and checklists.
Competencies

• Performs documentation of • Good Interpersonal skills
moderately complex technical
processes and clients.

T&PM – Content Services - Grade J (Management)
Job Title Manager, Content Services

4-5 years of total work experience including at least 0-1 years in management preferred; financial services
Experience industry experience preferred. Experience may also come from technology, software or manufacturing
industries.
Role Summary
Manages a small team of specialist and junior technical writers. Responsible for developing the high-level strategy for the
team and ensuring work is in alignment with Corporate policies. Keeps abreast of Corporate policy changes. Leads moderately
complex process-documentation projects and delegates work to more junior team members. Handles the performance
management process for the team.
Competencies

• Performs documentation of highly • Good Interpersonal skills
complex processes and clients.
Recruits, directs, motivates and
develops staff, maximizing their
individual contribution and
professional development.

T&PM – Content Services - Grade K (Management)
Job Title Lead Manager, Content Services

5-7 years of total work experience including at least 0-1 years in management preferred; financial services
Experience industry experience preferred. Experience may also come from technology, software or manufacturing
industries.
Role Summary
Manages a medium to large team of specialist and junior technical writers. Responsible for developing the high-level strategy
for the team and ensuring work is in alignment with Corporate policies. Keeps abreast of Corporate policy changes. Leads
complex process-documentation projects and delegates work to more junior team members. Handles the performance
management process for the team.
Competencies

• Recruits, directs, motivates and • Strong verbal and written • No direct reports • Proficient in Microsoft
develops staff, maximizing their communication skills Word, Excel,
individual contribution, professional • Stakeholder management and PowerPoint, Visio,
development and ability to function excellent in communication / Snag-IT, Captivate.
effectively with their colleagues as a presentation skills. (required)
team. Makes project staffing • Analytical Skills
assignments, determines team • Good Interpersonal skills
resources, and completes
performance, talent and career
management processes for the
team.

Asset Servicing

Team Overview
Business, Planning & Analysis:
Serves as the business management team for the Global Asset Servicing business and provides strategic business
planning and support on Regulatory, Compliance, Risk & Control, Audit remediation & Legal / Client related projects to
Executive Management in Asset Servicing
Business Oversight & Management:
Responsible for the oversight of the client related actives that EMEA AS Front Office has delegated to BNYM internal
teams on behalf of its clients. The Business oversight team looks into Asset Safeguarding, data oversight and several
processes in the client lifecycle and Business Management team performs governance, regulatory and policy /
procedure activities for the EMEA AS management team.
GRS Consulting:
Consulting operates as the heart of our asset servicing business, by offering the right solution to our end client’s
need. The team interacts with clients as front end team or with other global GRS Consultants to resolve inquiries and
requirements related to all aspects of institutional clients' usage of investment services including performance
measurement, asset allocation, attribution, risk and other investment analysis etc. And also operates as a conduit
between the client and various internal teams at BNY Mellon. The team is responsible for independently identify gaps
in existing solutions and designing and thinking through solutions to enhance overall client experience.
Consulting is sub divided in 3 groups:

 Risk View : Combines data and asset-specific expertise into enterprise level risk offering for our asset owner clients. Risk
View delivers a unique offering to deliver risk transparency across all asset classes, including alternatives & derivatives.
 Asset Strategy View : A big data product designed for multi-strategy asset managers & asset owners, that provides detailed
analysis of aggregated BNY custody data through interactive reports.
 Client Consulting : Client facing function supporting clients with their queries pertaining to Risk, Performance, Plan
Compliance and analytical needs of Corporate, Government, Not-For-Profit Pension, Foundation and Endowment space.

Team Overview
Cayman Fund Services:
Responsible for managing and overseeing trust related financial and administrative activities of our fiduciary
responsibilities related to The Bank of New York Mellon’s Offshore Fund Management subsidiary, BNY Mellon Fund
Management (Cayman) Limited (BNY Mellon Cayman)
Decision Management & Analytics:
Provide consultative & execution support for AS teams globally. Derive actionable insights through data & intelligence
analytics to help drive continued collaboration, business performance & organic growth. Provide program management,
market intelligence, research & lead revenue and expense optimization programs
Strategic Objectives include - Driving organic growth & profitability, Champion collaboration with Asset Servicing
teams, Enable & drive enterprise teamwork, execute strategic business projects and provide program management
support
Global Pricing
The Global Pricing Team sits within the Pricing l function and is responsible for producing financial analysis to strict
deadlines for all existing and potential clients of BNY Mellon Asset Servicing globally, plus all new services for existing
clients. The products covered are the full suite of global Asset Servicing products, including: Custody, Investment
Accounting, Global Risk Solutions, Fund Accounting, Transfer Agency, Trustee / Depositary, Depotbank, KVG Services,
Derivatives 360, Middle Office, Marketing Support Services, Benefits Payments and Alternative Investments

Asset Servicing - Career Matrix
Legend

Job Complexity
Specialist,
(J-Support)
(IC Role)
Lead Analyst,
Lead Manager, (I-Support)
Lead Manager, (K- (IC Role)
(K-Management) Manager, Management) Lead Manager,
(PM Role) (J-Management) (PM Role) (K-Management)
(PM Role) Specialist, (PM Role)
Specialist, Manager, (J- Lead Manager,
Lead Analyst J-IC Specialist,
J-IC Management) (K-Management)
(I-IC) Business (IC Role) (J-Support)
(IC Role) Lead (PM Role) (PM Role)
Oversight & (IC Role)
Lead Analyst Management - Representative Lead Analyst Specialist Lead Analyst,
(I-IC) Grade I (H-IC) (I-IC) (J-IC) (I-Support)
(IC Role) (IC Role) (IC Role) (IC Role) (IC Role) (IC Role)

Navigation
Functional

Cross


Job Codes at a glance :

70159 Lead Analyst, Business Planning & Analysis Individual Contributor
70158 Specialist, Business Planning & Analysis Individual Contributor
70155 Group Manager, Business Planning & Analysis Management
70242 Lead Manager, Global Risk Solutions Consulting Management
70246 Specialist, Global Risk Solutions Consulting Individual Contributor
70680 Led Rep, Global Risk Solutions Consulting Individual Contributor
70616 Manager, Trustee and Depository Management
70617 Lead Analyst, Trustee and Depository Individual Contributor
70155 Lead Manager, Business Planning & Analysis Management
70159 Lead Analyst, Business Planning & Analysis Support
70158 Specialist, Business Planning & Analysis Support
70125 Specialist, Data Management & Quantitative Analysis Support
70126 Lead Analyst, Data Management & Quantitative Analysis Support
70224 Lead Manager, Pricing/Data/Deal Modeling & Analytics Management
70228 Specialist, Pricing/Data/Deal Modeling & Analytics Individual Contributor

Growth Matrix
Specialist (J Grade)
Lead Analyst
(I Grade
Lead Representative
(H-Grade)
Global Risk Solutions

Consultants
(Lead Manager)

Asset Servicing – Cross Functional Career Matrix
Instructions
T&PM - Global Delivery Network Processes under Asset

T&PM - Business Change Group
(GDN) Servicing

T&PM – Content Services with similar nature of work

further details
Click on “Asset Servicing” in

BP&A BO-BM cross-functional Navigation to
T&PM - Business Change Group

GRS - Analytics / Indices & CAM
GRS Services/ Performance & Reporting/
DMA
Production Support
T&PM – Content Services
Pricing Cayman
DSD - OTC Pricing/Data

Management/Quant Analysis

Asset Servicing
Business, Planning & Analysis

Business Planning & Analysis Set Up - Grade I (IC track) Back to Career Matrix
Role Summary
• Independently applies processes and procedures to gather, organize and review operational data/metrics; analyzes and synthesizes the
data and compiles it into reports or presentations.
• Communicates effectively with technical and business staff. Develops and delivers both informational and decision-seeking reports,
analyses and/or presentations.
• Stays abreast of organization and function operations and is familiar with company practices relevant to metrics, performance indicators,
reporting protocols, etc.
• Participates on project teams, providing analytical expertise in support of project objectives.
Competencies

• Conduct analyses, reporting and project management in • Excellent verbal and • Proficiency in MS Office
support of general business operations written (outlook, excel, project, in
• Handle special projects/initiatives and/or communication skills particular)
strategic/operational planning activities • Email and Telephone
• Perform financial analysis, workforce or resource Etiquettes
planning, operations analysis/effectiveness, and • Analytical Skills
performance measurement. • Team Player
• Address day-to-day issues related to running the • PMP, Prince2
business (or infrastructure area) to allow line preferred
professionals/management to stay focused on core
business activities.

Business Planning & Analysis Set Up - Grade J (IC track) Back to Career Matrix
Role Summary
 Contributes to development of new processes or procedures for required analytics. Applies processes to gather, organize and review
operational data/metrics; analyzes and synthesizes the data; compiles data into reports or presentations.
 Communicates effectively with technical and business staff. Develops and delivers both informational and decision-seeking reports,
 Communications to stays abreast of organization and function operations and is familiar with company practices relevant to metrics,
performance indicators, reporting protocols, etc.
 Participates on project teams or may lead projects/initiatives for the function or business unit. Serves as a resource to more junior staff.
Competencies

• Knowledge of Financial Services and Accounting • Strong verbal and written • No direct reports; • Proficiency in MS Office
activities is required. communication skills may provide (excel in particular)
• Reviews information entered by more junior team • Email and Telephone guidance to less • Exposure to Accounting
members. Etiquettes experienced staff or Platforms
• Ability to analyze indicative data for different vendor • Analysis Skills project leadership • Exposure to Research
sources & Ability to work on large data set and • Prioritization – Time on a limited basis. Databases (such as
analyze system requirements Management Bloomberg or IDC)
• Understanding on Business Change Mgt & Ability to • Innovation & Problem • Vendor feeds and its
work on large data set and analyze system solving transfer methodology
requirements • Interpersonal Skills • Knowledge of SQL & VBA
• Ability to manage complex issue of people and • Timely escalations – Preferred
resolve. • Expectation Management
• Ability to enhance the process from efficiency point of • Stakeholder Management
view

Business Planning & Analysis Set Up - Grade K (PM track) Back to Career Matrix
Experience 5-7 years of total work experience and at least 0-1 years of management experience preferred.
Role Summary
 Works with internal teams to gain an understanding of their strategies, objectives, and tactics to develop a comprehensive approach to
the analytics, metrics, and reports that will support their decision-making needs.
 Manages the established, regular reporting and analytical cycle for assigned team. Fields ad-hoc requests and allocates and deploys
resources as needed.
 Guides team on projects and provides technical instruction on methods and approach.
 Manages special projects supporting functional or business initiatives.
 Recruits, directs, motivates and develops staff, maximizing their individual contributions, their professional growth and their ability to
Competencies
• Knowledge of Financial Services and Accounting activities is required. • Strong verbal and • Manages a team of • Proficiency in MS
• Ability to analyze indicative data for different vendor sources & Ability to work on written professionals; Office
large data set and analyze system requirements communication skills management • Knowledge of
• Understanding on Business Change Mgt & Ability to work on large data set and • Email and responsibilities SQL & VBA –
analyze system requirements Telephone include coaching, Preferred
• Able to drive efficiencies across locations by collaborating with the key Etiquettes performance
stakeholders in other locations • Analysis Skills management and
• Possess awareness of the market regulations / organization policies and • Program resource allocation.
regulatory changes that can impact the function Management May manage
• Able to think out of the box and come up with innovative ways of bringing in • Prioritization – Time financial resources
efficiencies by automation or optimization Management (e.g., budgets,
• Able to lead and chair meetings / discussions with various stakeholders / • Innovation & expenses, etc.)
locations Problem solving
• Able to have difficult conversation and discussion's, where required • Interpersonal Skills
• Able to take up complex assignments and contribute to its success • Stakeholder
• Ability to think strategically Management

Asset Servicing
Business Oversight & Management

Business Oversight & Management - Grade I (IC track) Back to Career Matrix
Bachelor's degree or the equivalent combination of education and experience. Advanced degree in quantitative
Qualification
analysis preferred. .
Experience 5-7 years experience preferred. Experience in quantitative finance and technology preferred.
Role Summary
• Data Management & Quantitative Analysis roles compile and synthesize raw market data (e.g., securities, pricing, reference, or other asset
class/type data), internal operational data (e.g., client information, KPIs, etc.) and client reference data and perform preliminary calculations for
both internal and external clients to be used for more advanced quantitative analyses or reporting. At the higher levels, incumbents will apply
preliminary data and analyses, supplement with additional research, and apply advanced statistical and quantitative methodologies to develop
advice, reports and business decision support tools to internal and external clients.
• With moderate guidance, supports assigned area with more advanced statistical and quantitative analyses. Serves as resource to less
experienced colleagues. Runs models, looks for exceptions, takes corrective action.
• Uses technology tools to conduct analyses; applies techniques such as SQL and macros to extract data for populating models.
• Has a good understanding of the relevant processes and products in assigned area and which analyses, methodologies and approaches best
support assessment of performance, risk, or valuation
• Interprets findings and prepares initial drafts of standard reports. Prepares ad-hoc reports at the request of managers and/or other leaders.
Translates complex technical concepts and analyses to non-technical audiences.
• Primarily responsible for the accuracy and quality of own work. Work contributes to the achievement of team goals.
Competencies
• Identification of Complex Break or issues and Resolution - Root • Strong verbal and written • Ensures Accountability - • Proficiency in
cause & downstream Impact communication skills Takes ownership of the MS Office (excel
• Business process knowledge for the client onboarding , client • Email and Telephone process in particular)
maintenance and client off boarding. Etiquettes • Drives Results • Knowledge of
• Apply preliminary data and analyses, supplement with additional • Analysis Skills • Builds Effective Teams SQL & VBA –
research, and apply advanced statistical and quantitative • Prioritization – Time • Relationship Building & Preferred
methodologies to develop advice, reports and business decision Management Collaboration • Proficiency in
support tools to internal and external clients. • Innovation & Problem • Builds Effective Teams- accounts setup ,
• Ability to analyze indicative data for different vendor sources & solving Develops Talent by contracts setup
Ability to work on large data set and analyze system • Interpersonal Skills Assessing & Addressing etc. for the Client
requirements • Timely escalations training needs for the life cycle.
• Understanding on Business Change Management • Expectation Management team.
• Stakeholder Management • Drive Innovation

Business Oversight & Management - Grade J (PM track) Back to Career Matrix
Qualification Bachelor’s degree or the equivalent combination of education and experience is required..
2-3 years of total work experience with at least 0-1 years in management preferred. Experience in financial services
Experience
preferred.
Role Summary
 Leads a small staff of individual contributors who compile, synthesize and report on the Bank's or market data sources. May provide
oversight on the management and mining of databases, data feeds, etc. as well as the extraction, cleansing, preparation and hand-off to
internal clients.
 Oversees the implementation of new data related technology enhancements / implementations. Ensures staff compliance with the Bank's
standards and best practices.
 Facilitates the analysis of client and business needs and manages related documentation. Guides the team's production of management
reporting and analyses. Ensures the quality of day-to-day services provided is in line with service level agreements in place for each client.
Ensures business requirements are executed as expected.
 Recruits, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to function
Competencies
• Basics of Client & trade Life cycle. • Strong verbal and written • People management skill. - Work • Proficiency in MS
• Identification of Complex Break or issues and Resolution - communication skills allocation, Leave planning & etc. Office
Root cause & downstream Impact • Email and Telephone • Ensures Accountability - Takes • Exposure to
• Business process knowledge for the client onboarding , Etiquettes ownership of the process Accounting Platforms
maintenance and off boarding. • Prioritization – Time • Builds Effective Teams • Exposure to
• Apply preliminary data and analyses, supplement with Management • Relationship Building & Research Databases
additional research, and apply advanced statistical and • Innovation & Problem Collaboration (such as Bloomberg
quantitative methodologies to develop advice, reports and solving • Builds Effective Teams- or IDC)
business decision support tools to internal and external • Interpersonal Skills Develops Talent by Assessing & • Knowledge of SQL &
clients. • Timely escalations Addressing training needs for the VBA – Preferred
• Knowledge of the application architecture • Expectation Management team.
• Ability to analyze indicative data for different vendor • Stakeholder Management • Drive Innovation
sources & Ability to work on large data set and analyze
system requirements

Asset Servicing
GRS Consulting

GRS Consulting - Grade H (IC track) Back to Career Matrix
Qualification
experience is required. Professional qualification like CFA/CIPM/FRM/CAIA preferred.
5 years of total work experience with at least 3-5 years in finance. Prior experience in financial services and client
Experience
reporting is preferred.
Role Summary
 Facilitates analysis of client and business needs and manages related coordination with stakeholders. Guides the team's production of
management reporting and analyses. Ensures the quality of day-to-day services provided is in line with service level agreements in place for
each client. Ensures business requirements are executed as expected.
 Supports more experienced colleagues with relevant research and analyses on client segments, competitive landscape and industry
environment. Builds technical knowledge in order to demonstrate competencies before interacting with clients directly.
 Leverages existing templates to evaluate solutions offered to client and pricing the cost of services to be rendered.
 Builds relationships and collaborates with Relationship Management, Business Development, Account Management, Operations & Product
Development teams to deliver on sales and market share goals.
Competencies
• Knowledge of Financial Services and capital market is required • Strong verbal and written • Ensures • Proficiency in MS
• Ability to interact with different teams as well as clients and come up communication skills Accountability - Takes Office (excel in
with ways to improve client servicing • Email and Telephone ownership of the particular)
• Understanding on various applications, datasets and ability to Etiquettes process • Exposure to
analyze any system requirements from change management • Analysis Skills • Developing various risk and
perspective • Interpersonal Skills Partnerships returns techniques
• Anticipates client needs and provides services that are beyond • Timely escalations • Relationship Building and asset classes
customer expectations. • Expectation & Collaboration • Knowledge of SQL
• Possess awareness of the market regulations / organization policies Management • Build stronger control & VBA – Preferred
and regulatory changes that can impact the function • Stakeholder environment
• Able to think out of the box and come up with innovative ways of Management
bringing in efficiencies by automation or optimization

GRS Consulting - Grade J (IC track) Back to Career Matrix
Post Graduate in Business or the equivalent combination of education and experience is required. Professional
Qualification
qualification like CFA/CIPM/FRM/CAIA preferred.
Experience
Role Summary
 Facilitates analysis of client and business needs and manages related coordination with stakeholders. Guides the team's production of
management reporting and analyses. Ensures the quality of day-to-day services provided is in line with service level agreements in place for
each client. Ensures business requirements are executed as expected.
 Supports more experienced colleagues with relevant research and analyses on client segments, competitive landscape and industry
environment. Builds technical knowledge in order to demonstrate competencies before interacting with clients directly.
 Leverages existing templates to evaluate solutions offered to client and pricing the cost of services to be rendered.
 Builds relationships and collaborates with Relationship Management, Business Development, Account Management, Operations & Product
Development teams to deliver on sales and market share goals.
Competencies
• Knowledge of Financial Services is required. • Strong verbal and written • Ensures • Proficiency in MS
• Ability to analyze large amount of data & help in transforming the communication skills Accountability - Takes Office
data analytics into insights for client • Email and Telephone ownership of the • Exposure to
• Ability to bring enhancements to the process using various avenues Etiquettes process various risk and
like automations and controls • Analysis Skills • Developing returns techniques
• Anticipates client needs and provides services that are beyond • Prioritization – Time Partnerships and asset classes
customer expectations. Management • Relationship Building • Knowledge of SQL
• Able to drive efficiencies across locations by collaborating with the • Interpersonal Skills & Collaboration & VBA – Preferred
key stakeholders in other locations • Timely escalations • Build stronger control • Knowledge of
• Possess awareness of the market regulations / organization policies • Stakeholder • Drive Innovation workbench &
and regulatory changes that can impact the function Management Nexen & Hedge
• Able to think out of the box and come up with innovative ways of • Presentation Skills mark
bringing in efficiencies by automation or optimization
• Ability to think strategically and doing root cause analysis

GRS Consulting - Grade K (PM track) Back to Career Matrix
Post Graduate in Business or the equivalent combination of education and experience is required. Professional
Qualification
qualification like CFA/CIPM/FRM/CAIA preferred.
Experience
Role Summary
 Ensures staff compliance with the Bank's standards and best practices.
 Ensures the quality of day-to-day services provided is in line with service level agreements in place for each client. Ensures business
requirements are executed as expected.
 Identifies opportunities and/or gaps across existing firm solutions
 building adoption and utilization of firm solutions in the marketplace and ensures that the team understands the competitive landscape and
the industry environment
Competencies
• Knowledge of Financial Services is required. • Strong verbal and • Strong People • Proficiency in MS
• Ability to work on large data set and analyze requirements written communication management skills Office
• Ability to manage complex issue of people and resolve. Ability to skills • Ensures Accountability • Risk Modeling
bring enhancements to the process using various process • Email and Telephone - Takes ownership of • Investment
innovations. Etiquettes the process performance
• Anticipates client needs and provides services that are beyond • Analysis Skills • Drives Results methodology
customer expectations. • Innovation & Problem • Builds Effective Teams • Knowledge of SQL
• Able to drive efficiencies across locations by collaborating with the solving • Developing & Database
key stakeholders in other locations • Interpersonal Skills Partnerships. management
• Possess awareness of the market regulations / organization policies • Expectation • Relationship Building &
and regulatory changes that can impact the function Management Collaboration
• Able to lead and chair meetings / discussions with various • Stakeholder • Build stronger control
stakeholders / locations Management environment
• Able to take up complex assignments and contribute to its success • Budgeting & Staffing • Drive Innovation
• Presentation Skills

Asset Servicing
Cayman Fund Services

Cayman Fund Services - Grade I (IC track) Back to Career Matrix
Experience 3-5 years experience preferred. Experience in quantitative finance and technology preferred.
Role Summary
• Ensures the funds comply with regulatory and fund-specific documentation. Produces of Trustee reports for funds for each period and/or
year-end. Assists in the preparation of reporting requirements for the Board of the Fund. Assists manager in the day to day operations.
• Investigates pricing and other errors on the funds to satisfactory conclusion, documents errors in breach/error reports.
• Assists the Manager in review and sign off on level H's administrative duties. Deputizes in the absence of he Manager. Attends Client
meetings when required.
• Assists in team development by training and developing of associated tasks, using coaching skills where necessary. Provides feedback
on performance to the Manager against objectives, PMP’s and staff development plans. Attends role relevant course when required.
• Reviews and completes various number of administrative duties within the team.
• Assist in the ongoing delivery of trust services (document handling of trust formation, agreement contracts and custody functions).
• Liaise with relevant services providers, fund sponsors, attorneys, investment managers, custodians, sub-administrators, relationship
management offices and local regulator during the trust/fund establishment phase, restructuring phase and liquidation phase or as when
necessary. Liaise with Trustee’s counsel, client counsel, internal counsel on matters relating to the delivery of legal documents
including fund formation documents and other legal records.
Competencies
• Basics of Client & fund Life cycle. • Strong verbal and written • Ensures Accountability - • Proficiency in MS
• Fund Accounting/Admin basics knowledge. communication skills Takes ownership of the Office (excel in
• Business process knowledge for the client • Email and Telephone process particular)
onboarding , client maintenance and client off Etiquettes • Drives Results
boarding. • Analysis Skills • Builds Effective Teams
• Apply preliminary data and analyses, supplement • Prioritization – Time • Relationship Building &
with additional research, and apply advanced Management Collaboration
statistical and quantitative methodologies to • Innovation & Problem solving • Builds Effective Teams-
develop advice, reports and business decision • Interpersonal Skills Develops Talent by
support tools to internal and external clients. • Timely escalations Assessing & Addressing
• Knowledge of the fund accounting application. • Expectation Management training needs for the team.
• Understanding on Cayman regulations. • Stakeholder Management • Drive Innovation

Cayman Fund Services - Grade J (PM track) Back to Career Matrix
Qualification Bachelor’s degree or the equivalent combination of education and experience is required..
5-7 years of total work experience with at least 0-1 years in management preferred. Experience in financial services
Experience
preferred.
Role Summary
 Oversees the implementation of the Depositary's fund oversight model aimed at ensuring all client funds comply with the relevant regulatory
and fund-specific documentation. Oversees the production of Trustee reports for funds for each period and/or year-end. Oversees the
preparation of reporting requirements for the Board of the Fund. Assist the Manager in the day to day operations.
 Oversees and assists with the investigation of pricing and other errors on the funds ensuring they are brought to satisfactory conclusion,
documenting them in breach/error reports.
 Assists in team development by training and developing in the associated tasks, using coaching skills where necessary. Provides feedback
on performance to the Manager against objectives, PMP’s and staff development plans. Attends role relevant courses whenever required.
 Review the management and operation of funds/structures to ensure that they are being managed in accordance with the relevant rules and
regulations. This role involves day to day management aspects of a specific number of client allocated Funds. Assists with the effective
management of administrative activities conducted by the business. Ensures that the Bank’s position as Trustee/Depositary is protected and
that the client receives a service commensurate with any service level in place.
Competencies

• Basics of Client & fund Life cycle. • Strong verbal and written • People management skill. - • Proficiency in
• Fund Accounting/Admin basics knowledge. communication skills Work allocation, Leave MS Office (excel
• Business process knowledge for the client onboarding , • Email and Telephone planning & etc. in particular)
client maintenance and client off boarding. Etiquettes • Ensures Accountability - Takes • Exposure to
• Apply preliminary data and analyses, supplement with • Analysis Skills ownership of the process Accounting
additional research, and apply advanced statistical and • Prioritization – Time • Drives Results and innovation Platforms
quantitative methodologies to develop advice, reports Management • Builds Effective Teams • Exposure to
and business decision support tools to internal and • Innovation & Problem solving • Relationship Building & Research
external clients. • Interpersonal Skills Collaboration Databases
• Knowledge of the fund accounting application. • Timely escalations • Develops Talent by Assessing (such as
• Understanding on Cayman regulations. • Expectation Management & Addressing training needs for Bloomberg or
• Stakeholder Management the team. IDC)

Asset Servicing
Decision Management & Analytics

Decision Management and Analytics - Grade I (IC track) Back to Career Matrix
Qualification Management Graduate (Finance)
Experience 3-5 years.
Role Summary
• Independently applies processes and procedures to gather, organize and review operational data/metrics; analyzes and synthesizes the data
and compiles it into reports or presentations.
• Communicates effectively with technical and business staff. Develops and delivers both informational and decision-seeking reports, analyses
and/or presentations.
• Stays abreast of organization and function operations and is familiar with company practices relevant to metrics, performance indicators,
reporting protocols, etc.
Competencies

• Good knowledge of securities markets and • Strong analytical skills • Expert level MS Excel
instruments • Good written and oral knowledge, PowerPoint.
• Business Acumen communication skills

Decision Management and Analytics - Grade J (IC track) Back to Career Matrix
Role Summary
• Contributes to development of new processes or procedures for required analytics. Applies processes to gather, organize and review
operational data/metrics; analyzes and synthesizes the data; compiles data into reports or presentations.
• Communicates effectively with technical and business staff. Develops and delivers both informational and decision-seeking reports,
• Communications to stays abreast of organization and function operations and is familiar with company practices relevant to metrics,
• Participates on project teams or may lead projects/initiatives for the function or business unit. Serves as a resource to more junior staff.
Competencies

• Good knowledge of securities markets and • Strong analytical skills • Expert level MS Excel
instruments • Good written and oral knowledge, PowerPoint.
• Business Acumen communication skills

Decision Management and Analytics - Grade K (PM track) Back to Career Matrix
Experience 5-7 years. 0-1 year management experience preferred
Role Summary
• Works with internal teams to gain an understanding of their strategies, objectives, and tactics to develop a comprehensive approach to
the analytics, metrics, and reports that will support their decision-making needs.
• Manages the established, regular reporting and analytical cycle for assigned team. Fields ad-hoc requests and allocates and deploys
resources as needed.
• Guides team on projects and provides technical instruction on methods and approach.
• Manages special projects supporting functional or business initiatives.
• Recruits, directs, motivates and develops staff, maximizing their individual contributions, their professional growth and their ability to
Competencies

• Good knowledge of securities markets and • Strong analytical skills • Manages a team of • Expert level MS Excel
instruments • Good written and oral professionals; management knowledge, PowerPoint.
• Business Acumen communication skills responsibilities include
coaching, performance
management and resource
allocation. May manage
financial resources (e.g.,
budgets, expenses, etc.)

Decision Management and Analytics (Technical) - Grade I (IC track) Back to Career Matrix
Qualification Engineer or Computer graduate
Role Summary
• With moderate guidance, supports assigned area with more advanced statistical and quantitative analyses. Serves as resource to less
experienced colleagues. Runs models, looks for exceptions, takes corrective action.
• Uses technology tools to conduct analyses; applies techniques such as SQL and querying and macro development to extract data for
populating models.
• Has a good understanding of the relevant processes and products in assigned area and which analyses, methodologies and
approaches best support assessment of performance, risk, or valuation.
• Interprets findings and prepares initial drafts of standard reports. Prepares ad-hoc reports at the request of managers and/or other
leaders. Translates complex technical concepts and analyses to non-technical audiences.
• Reviews accuracy of reports and calculations performed by less experienced colleagues.
Competencies
• Good knowledge of securities markets and • Strong analytical skills • SQL/RDBMS/ETL
instruments • Good written and oral • Tableau
• Well versed with SQL programming and communication skills • Expert level MS Excel
understanding of relational databases. knowledge, PowerPoint.

Decision Management and Analytics (Technical) - Grade J (IC track)
Qualification Engineer or Computer graduate
Role Summary
• With minimal guidance, supports assigned area with advanced, complex statistical and quantitative analyses. Contributes to the
development of the techniques and methodologies to be used for each type of activity/analysis. Leads data modeling and quantitative
analysis projects and serves as resource to less experienced colleagues.
• Uses technology tools to conduct analyses; applies techniques such as SQL and querying and macro development to extract data for
populating models. As an advanced user, may do some light programming or system configuration in order set up sophisticated models
or algorithms.
• Understands the relevant processes and products in assigned area and which analyses, methodologies and approaches best support
assessment of performance, risk, or valuation. Begins to lead complex projects in support of new or evolving processes/products.
• Interprets findings, prepares standard and ad-hoc reports and delivers results to management and/or other leaders. Provides
recommendations for addressing observed outcomes. Translates complex technical concepts and analyses to non-technical audiences.
• Reviews accuracy of reports and calculations performed by less experienced colleagues.
Competencies
• Good knowledge of securities markets and • Strong analytical skills • SQL/RDBMS/ETL
instruments • Good written and oral • Tableau
• Well versed with SQL programming and communication skills • Expert level MS Excel
understanding of relational databases. knowledge, PowerPoint.

Asset Servicing
Global Pricing

Pricing/Data/Deal Modeling & Analytics - J Grade (IC track) Back to Career Matrix
Qualification Graduate, Post Graduate in Business is preferred..
Experience 5+ years’ experience from working within or with the financial services industry.
Role Summary
• To work with the Sales/ Relationship Management Team in producing financial analysis and proposing financial arrangements for
complex multi-product new business / existing clients
• Responsible for producing financial analysis to strict deadlines for all existing and potential clients of BNY Mellon Asset Servicing
globally, plus all new services for existing clients. The products covered are the full suite of global Asset Servicing products, including:
Custody, Investment Accounting, Global Risk Solutions, Fund Accounting, Transfer Agency, Trustee / Depositary, Depotbank, KVG
Services, Derivatives 360, Middle Office, Marketing Support Services, Benefits Payments and Alternative Investments.
• The role also involves working closely with a number of areas including: Sales, Relationship Executives / Management, Service
Directors, Account Management, Product Management, Client Services, Global Client Management, Network Management, Billing,
Finance and Global Operations.
Competencies
• A detailed understanding of the financial • Strong analytical skills and • Self-motivated and • Proficiency in MS Office
services industry from 5+ years’ experience attention to detail prepared to work with (excel, PowerPoint, Word)
from working within or with the financial • Strong written and oral minimal supervision
services industry communication skills, with • Ability to work under • Experience of project
the ability to communicate pressure, multi-task and planning tools and
• Detailed understanding of P&L with internal clients and meet deadlines techniques at business
senior management within • Have a flexible attitude level
• Knowledge of Asset Servicing and Asset BNY Mellon given the varying
Servicing products • Conceptual Thinking demands experienced
• An Accountancy qualification (CIMA, ACCA, • Strategic Thinking within the function.
ACA, etc.) would be useful, but is not essential • Critical Information • Results Focus
Seeking

Pricing/Data/Deal Modeling & Analytics - K Grade (PM track) Back to Career Matrix
Qualification Graduate, Post Graduate in Business is preferred..
Experience 5+ years’ experience from working within or with the financial services industry.
Role Summary
• To regularly review, maintain and enhance the MS Excel models used by the team and build new models, as required and guide the analysts
on complex deals.
• Responsible for producing financial analysis to strict deadlines for all existing and potential clients of BNY Mellon Asset Servicing globally,
plus all new services for existing clients. The products covered are the full suite of global Asset Servicing products, including: Custody,
Investment Accounting, Global Risk Solutions, Fund Accounting, Transfer Agency, Trustee / Depositary, Depotbank, KVG Services,
Derivatives 360, Middle Office, Marketing Support Services, Benefits Payments and Alternative Investments.
• The role also involves working closely with a number of areas including: Sales, Relationship Executives / Management, Service Directors,
Account Management, Product Management, Client Services, Global Client Management, Network Management, Billing, Finance and Global
Operations.
Competencies
• A detailed understanding of the financial services • Strong analytical skills and attention • To deputize for the Head of • Proficiency in
industry from 5+ years’ experience from working to detail pricing in their absence MS Office
within or with the financial services industry • Strong written and oral ensuring all client deadlines (excel,
• Detailed understanding of P&L communication skills, with the ability are met and quality levels PowerPoint,
• Knowledge of Asset Servicing and Asset to communicate with internal clients maintained Word)
Servicing products and senior management within BNY • Ensure that all team guidelines,
• To lead projects on behalf of the Pricing team Mellon processes and procedures are • Experience of
whether they are strategic or tactical acting as • Resource management followed and anything that may project planning
either Programme Manager, Project Manager or • Conceptual & strategic thinking result in an increased level of tools and
Subject Matter Expert, as appropriate • Critical Information Seeking risk to the organization is techniques at
• To keep up to date with developments on all • organization that interface with the escalated appropriately business level
Asset Servicing Products, including the operating team • Build and contain to maintain
model, plus cost and revenue drivers • To keep up to date with good working relationships with
• To answer ad-hoc data requests made to the developments on all Asset Servicing colleagues around the
Pricing Team, including liaising with Compliance Products, including the operating organization that interface with
or Audit, as needed model, plus cost and revenue the team
drivers

Asset Servicing
Business Development

Team Overview (1/2)
1) RFP
As an extension of the Asset Servicing Global RFP Support team, the purpose of the RFP Team in Pune is to respond to the
questionnaires on behalf of BNY Mellon. These questionnaires may include
• Requests for Proposals (RFPs);
• Requests for Information (RFIs);
• Due Diligence Questionnaires (DDQs);
• Information requests from consultants; industry surveys; and
• Any other request for information on the business.
The RFP Writer will work as part of a team, alongside the Sales Partners, Subject Matter Experts and Relationship Managers to
ensure that the best possible response is provided on behalf of BNY Mellon. The RFP Writer responds to the questions provided
in the request and collaborates with the different vertical subject-matter experts (SME's) for validating and seeking responses for
the questions.
The RFP Writer is responsible for end-to-end management of a documentation, which includes initiating, planning, executing,
controlling, and closing with a final sign-off.
2) Presentation
Sales Support Analyst works closely with the Recipient’s relationship managers and business development executives to
determine what material is needed for their client meetings.
He/she handles the logistics of client meetings and will coordinate all of the marketing material or create new and unique
presentation material consistent with the approved template.
He/she interacts with various teams across BNY Mellon in order to gather the information necessary for a successful client
meeting.
He/she also supports Relationship Managers on an as needed basis for ad hoc requests.
3) Database Administration
The role entails maintaining and keeping updated the content delivery platform used for responding to RFP/RFI and DDQs.
He/she works with product, legal and/or risk and compliance to perform quality control functions, organizing, formatting and
assembling documents.

Team Overview (2/2)
4) Business Development Partner

The Business Development Partner supports deals generated by Recipient sales executives and in some cases lead manages
opportunities originating from the Recipient’s business / client executives, relationship managers and deals sourced via
consultants / direct from the marketplace.
The Business Development Partner ensures hand over to relationship management and business change is a well-coordinated
and seamless process.
5) Reporting and Analytics

The team creates “Monthly Sales and Activity Tracking report” for the senior management and Business Development
Executives (BDEs).
Additionally, the team provide business development support assisting the BDEs in the deal research process by creating
briefing memos.
They also do campaign research using various databases like Preqin, Simfund etc. and provide Engage support to BDE teams
while managing overall Engage data quality (bi-weekly data quality meetings, data quality report, etc.).
The team also works on ad hoc projects and report production in support of management meetings.
6) Relationship Management/BD Support (Smart Decision Services)

The team is responsible for supporting Business Development/ Sales team across a wide array of functions, including:
• Deal Advisory: In-depth analysis of deals, including fund structure, service provider landscape, and fees trends leading to
value articulation and opportunity prospecting, for existing and potential new clients
• Industry Research and Analysis: In-depth analysis of related industry/ segments to understand the size; key drivers /
trends; and opportunities
• Segment Analysis: Segment Analysis for Win / Loss and pipeline in order to understand the reasons and ways to improve

Business Development: Career Roadmap
Senior
Specialist Specialist
Specialist
FAMILIES
Lead Analyst
Market Lead Analyst Lead Analyst Lead Analyst
Intelligence/Research/Strategy
Lead Analyst
Business Planning and
Analysis
Proposal Business Database

Research Presentation
Development Development Administration
FUNCTIONS
Navigation
Functional

Cross


Job Codes
Job Code Designation Job Category Job Grade
70052 Lead Analyst Proposal Development I
70051 Specialist Proposal Development J
70049 Lead Manager Proposal Development K
70036 Senior Specialist Business Development K
70038 Lead Analyst Presentation I
70140 Lead Analyst Database Administration I
Research
70159 Lead Analyst I
(Business Planning and Analysis)
Research
70151 Lead Analyst I
(Market/Intelligence/Research/Strategy)
70150 Specialist Research J
70147 Lead Manager Research K

Growth Path
RFP
Manager
(Grade K)
Specialist
Proposal Developer
(Grade J)
Lead Analyst
Proposal Developer
(Grade I)

Business Development – Cross Functional Career Matrix
Instructions
Processes under Business

Development


further details
Click on “Business Development”

Research Proposal
in cross-functional Navigation to
Development come back to this page
Database
Administration Business
Development
Presentation

Back to Career Roadmap
Lead Analyst: Proposal Development − Grade I

Bachelor’s degree or the equivalent combination of education and experience in business management or
Qualification
related field is required.
Experience 3-5 years of total work experience preferred; experience in proposal development preferred.
• Responsible for activities such as proposal drafting and research.
• Responsible for drafting responses to RFPs submitted by small to medium sized target clients.
• Assists in developing and refining proposal processes and proposal library content.
• Work with the business development or relationship management team to clarify proposal requirements.
Competencies
• Conducts core activities related to • Strong verbal and written • NA • Proficiency in MS
proposal development. Writes communication skills Office
first drafts of proposals and • Client Orientation/ Focus
responses to RFPs, conducts • Knowledge of Financial Services
research and prepares Industry
profitability modeling. • 3-5 years of total work experience
preferred; experience in proposal
development preferred.

Specialist: Proposal Development − Grade J

Qualification
Experience 5-7 years of total work experience preferred; experience in proposal development preferred
• Takes lead on larger, more complex proposals and responds to RFPs for larger, more complicated projects and larger clients.
• Coordinates with internal business units to research and gather information necessary to prepare a responsive submission to
the RFP. Anticipates and resolves any compliance, legal or regulatory review required for response.
• Develops and refines proposal processes and proposal library content.
• Works with the business development or relationship management team to clarify proposal requirements.
Competencies
• Participates in or leads activities related to proposal • Strong verbal and written • NA • Proficiency in
development. Writes proposals and responses to RFPs communication skills MS Office
• Develops approach to proposal response and performs • Client Orientation/ Focus
key activities such as drafting of proposals and • Knowledge of Financial
research. Takes lead on larger, more complex proposals Services Industry
and responds to RFPs for larger, more complicated • 5-7 years of total work
projects and larger clients. experience preferred;
• Develops and refines proposal processes and proposal experience in proposal
library content. development preferred.

Lead Manager: Proposal Development − Grade K

Qualification
related field is required
5-7 years of total work experience and 0-1 years of management experience preferred; proposal
Experience
development experience preferred.
• Reviews proposal drafts and overall end-to-end process. Allocates responsibility for proposal development to team based on
proposal prioritization.
• Provides expertise around winning proposal approaches and opportunities for competitive product positioning.
• Works with the business development or relationship management team to clarify proposal requirements.
Competencies
• Manages a proposal development • Strong verbal and written • Manages a large team of • Proficiency in MS
team. communication skills proposal development Office
• Oversees proposal drafts, • Client Orientation/ Focus staff.
responses to RFPs, and • Knowledge of Financial Services • Responsible for the
profitability modeling. Oversee the Industry achievement of team
DDQ process and ensures all goals and objectives,
deals get completed on time. talent management and
• Responsible for allocating and supervision of team
coordinating work within team. members.
• Provides day to day direction on
any questions that a RFP analyst
or other staff may have regarding a
request.

Senior Specialist: Business Development − Grade K

Qualification
Experience 10-12 years of total work experience in sales preferred.
• Oversees the deal management process and ensures high quality delivery in all interactions with clients/prospects. Provides
feedback on metrics, methodology and proposal response to improve processes, as needed.
• Oversees legal/business reviews for all potential projects. Supports prospecting campaigns and management of new deals.
• Assists relationship managers to ensure client/prospect satisfaction. Drives improvements, as needed.
• Acts as main coordinator for business development or relationship management teams.
Competencies
• Supports the life-cycle of a deal from market • Strong verbal and written • NA • Proficiency in MS
planning and supporting prospecting campaigns, communication skills Office
opportunity development and deal management. • Client Orientation/ Focus
• Assists relationship managers and engages with • Knowledge of Financial
clients/prospective clients to ensure all interactions Services Industry
are of high quality
• Oversees the deal management process and
ensures high quality delivery in all interactions with
clients/prospects. Provides feedback on metrics,
methodology and proposal response to improve
processes, as needed.

Lead Analyst: Presentation − Grade I

Qualification
Experience 5-7 years of total work experience in sales preferred.
• Coordinates with internal business units to research and gather information as necessary.
• Acts as a resource for relationship managers to ensure information needed to complete a sale or to improve the sales
process provided in a timely fashion.
• Contacts the business development or relationship management teams to clarify requirements for materials being developed.
Leverages technological expertise for product sales and demonstrations.
Competencies
• Participates in or leads activities related to • Strong verbal and written • NA • Proficiency in MS
Business Development support, including communication skills Office and
technology product sales • Client Orientation/ Focus Expertise in
• Acts as a resource for relationship managers to • Knowledge of Financial PowerPoint
ensure information needed to complete a sale Services Industry
or to improve the sales process provided in a
timely fashion.

Lead Analyst: Database Administration − Grade I

Qualification
Experience 3-5 years of total work experience preferred. Experience in securities or financial services preferred.
• Analyzes and monitors data/reports to ensure quality of and accurate recording and reporting of data, reacting promptly to
data quality statistics and client inquiries.
• Builds domain and product knowledge through assisting colleagues and frequent interaction with product teams,
relationship/account managers, etc.
Competencies
• Manage the proposal management • Strong verbal and written • NA • Proficiency in MS
Software to keep data within the communication skills Office
system updated • Client Orientation/ Focus
• Work closely with SMEs and other • Knowledge of Financial Services
key areas of the firm to monitor Industry
and update data as and when
required
• Be a point of contact for RFP
Writers to guide and provide
information within the database
when needed

Lead Analyst: Research − Grade I (Business Planning and Analysis)

Qualification Bachelor’s degree or the equivalent combination of education
• Communicates effectively with technical and business staff. Develops and delivers both informational and decision-seeking
reports, analyses and/or presentations
• Stays abreast of organization and function operations and is familiar with company practices relevant to metrics,
Competencies
• Conducts analyses and reporting • Strong verbal and written • NA • Proficiency in MS
in support of general business communication skills Office
operations, special • Client Orientation/ Focus
projects/initiatives and/or • Knowledge of Financial Services
operational planning activities. Industry
• Independently applies established
processes and precedents to
gather, organize and review
operational data/metrics; analyzes
and synthesizes the data and
compiles it into reports or
presentations.

Lead Analyst: Research − Grade I (Market Intelligence/Research/Strategy)

Bachelor’s degree in marketing, business, mathematics/ statistics or the equivalent combination of education
Qualification
and experience is required.
3-5 years of total work experience preferred, market research and analysis experience preferred. Applicable
Experience
• Gathers internal and external research via Internet, trade publications, paid online databases, etc. on marketplace
issues/trends and business intelligence for select Bank operational areas.
• Assists more senior analysts with assembly and review of data; conducts statistical analyses; completes studies of markets
and industry groups. Acquires and begins to apply knowledge of departmental methods and procedures.
• Create supporting exhibits (tables, graphs) for leadership presentations under the guidance of more senior analysts.
Competencies
• Under guidance from more senior • Strong verbal and written • NA • Proficiency in MS
colleagues, conducts, coordinates communication skills Office
and analyzes market research for • Client Orientation/ Focus
internal clients; supports • Knowledge of Financial Services
colleagues and project or business Industry
unit managers to define research
goals, design instruments/methods
and field the research.
• Supports client-facing staff in
various areas of the Bank with
research requests.

Specialist: Research − Grade J

Qualification
Experience
• Gathers internal and external research via Internet, trade publications, paid online databases, etc. on marketplace
issues/trends and business intelligence for select Bank operational areas.
• Uses various statistical methods (from descriptive frequencies/means to multivariate techniques) to examine and analyze
data on clients and the marketplace to support business development, segmentation/opportunity analyses, sales strategies &
special projects.
• Organizes research and findings in a logical manner and provides to senior staff and management for use in presentation to
leaders. Creates accurate tables/graphs to support assertions.
Competencies
• Independently, conducts, coordinates and analyzes market • Strong verbal • NA • Proficiency in MS
research for internal clients; works with project or business and written Office
unit managers to define research goals, design communication
instruments/methods and field the research. skills
• Supports client facing staff in various areas of the Bank with • Client
research requests. Orientation/
• Has solid understanding of available data sources and can Focus
appropriately leverage internal and external systems, • Knowledge of
databases, etc. to develop theories, describe characteristics, Financial
and explain motivations behind market behaviors and Services
environments. Industry

Lead Manager: Research − Grade K

Qualification
Experience
• Manages market intelligence research and strategy (client, geographic, industry, product) to support product
conceptualization and development, client intimacy, and management reporting for assigned market segment(s).
• Contributes to the development and implementation of techniques, processes and workflow tools and methodologies to
encourage innovation and efficiency across the department.
• Develops and implements team/department goals that support the attainment of short- and long-term area/functional
objectives.
Competencies
• Serves as first line management for a market • Strong verbal and written • NA • Proficiency in MS
research/intelligence/strategy team. communication skills Office
• Leads the conduct, coordination and analysis of market • Client Orientation/ Focus
research for internal clients. Establishes research goals • Knowledge of Financial
and directs the design of survey instruments and Services Industry
research methodologies.
• Provides guidance and recommendations to senior
leaders based on research findings.
• Participates on management teams to assess the market
feasibility of new offerings to the market or new
client/industry segments.

Asset Servicing
Product Management

Team Overview
Product & Research
• Involves end to end owning of a product/multiple products in high growth potential areas that represents a niche/ speciality
offering like Custody, Accounting, Data, Digital, Risk, AIS, etc.,
• Research analysis of complex products as well as possessing core functional expertise and knowledge on industry trends,
market segments and competitor services/ offerings
• Coordination with Business, Operations & Technology to ensure End to End “Development to Sales” as well as delivery
• Handle client communications and enquiries
Analytics
• Business/ Market Analytics having strong business analysis skills with hands on experience on design tools
• Analyze complex client requirements with the help of various tools on Industry trends, market segments, competitor offerings

Product Management - Career Matrix
Note : Pure Managerial Roles does not exist in

product
Job Complexity
Principal Product
Manager
(L)
Senior Specialist
Product Manager
(K)
Specialist Product Senior Specialist
Manager DataMgtQntAnalysis
(J) (K)
Lead Analyst, Product Specialist
Management Data MgtQntAnalysis
(I) (J)
Lead Analyst
Analyst Data MgtQnt
(H) Analysis (I)
Legen
d
Product & Research Analytics

Navigation
Functional

Cross


Asset Servicing Job Code Family

70239 Lead Analyst, Product Management Individual Contributor
70238 Specialist, Product Management Individual Contributor
70237 Senior Specialist, Product Management Individual Contributor
70236 Principal, Product Management Individual Contributor
70659 Senior Principal, Product Management Individual Contributor
70235 Lead Manager, Product Management Management
70234 Group Manager, Product Management Management
70233 Senior Group Manager, Product Management Management
70660 Exec Manager, Product Management Management

Growth Matrix :
Product & Research

Product & Research
Product Management , Strategy & Research Analysis of

Complex products
Analyst, Client
Processing
(G – IC Role) Analytics
Design Analytics with help of tools based on Industry Trends ,

Analytics
Market Segment, Competitor offerings etc

Product Management - Cross Functional Career Matrix
Instructions
Processes under Product

Management


further details
Click on “Product Management”

in cross-functional Navigation to
Product &
Research
Analytics

Product & Research - Grade H (IC track)
Qualification Bachelor’s Degree ,Post Graduate in Business is preferred.
Experience 2-3 years of total work experience preferred. Preferred certification : CFA/FRM/PMP
Role Summary: Product Management of Complex Products or Research Analysis
Competencies
• Knowledge of Business operations in Banking & • Supports product management and
Financial Services industry. product development through
• Should have knowledge of local market (that participating in development and
he/she would be supporting) and its impact on maintenance of client facing data
business. documentation, artifacts for data
• Should be conversant with Project Management governance, aid in generating
skills and be able to drive cross functional scorecard for data quality and write
projects across teams. requirement documentations.
• Should have core expertise in financial services • Participate in testing phase for data
operations preferably in Capital markets domain. quality/governance projects for the
platform. Coordinate with multiple
service organizations and stakeholders
across middle office product,
technology and operations group.
• Supports more experienced colleagues
with relevant competitive, market
and/or financial analyses to gain
breadth/depth of knowledge in relevant
products, services and platforms.

Product & Research - Grade I (IC track)
Qualification Bachelor’s degree ,Post Graduate in Business is preferred.
Experience 3-5 years of total work experience preferred .Preferred Certification : CFA/FRM/PMP
Role Summary: Product management of Complex Products or Research Analysis
Competencies
• Knowledge of business operations in Banking & • Supports product management and
Financial Services industry. product development through pricing,
• Should have knowledge of local market (that sales support, and providing inputs to
he/she would be supporting) and its impact on marketing strategy.
business. • Researches the demands, risks,
• Should be conversant with Project Management regulatory environment of the applicable
skills and be able to drive cross functional markets to develop products.
projects across teams. • Supports more experienced colleagues
• Should have core expertise in financial services with relevant competitive, market and/or
operations preferably in Capital markets domain financial analyses to gain breadth/depth
of knowledge in relevant products,
services and platforms.
• Performs technical training,
demonstrations and develops user
documentation to provide feedback on
enhancements for assigned product(s).
• Follows and completes activities outlined
in product development process and
conducts focused research on specific
topics.

Product & Research - Grade J (IC track)
Competencies
• Knowledge of business operations in Banking & • Works independently to manage a range
Financial Services industry. of moderately complex products from
• Should have knowledge of local market (that development to sales and delivery.
he/she would be supporting) and its impact on • Products can be domestic, regional, or
business. global in nature. Supports more
• Should be conversant with Project Management experienced colleagues with relevant
skills and be able to drive cross functional competitive, market and/or financial
projects across teams. analyses to gain breadth/depth of
• Should have core expertise in financial services knowledge in relevant products, services
operations preferably in Capital markets domain. and platforms.
• Develops ideas for product
enhancements and/or expansion to other
regions/lines of business based on the
risk and regulatory environment
surrounding the products under
development.

Product & Research - Grade K (IC track)
Competencies
• Knowledge of business operations in Banking & • Leads product management,
Financial Services industry development and strategy for large
• Should have knowledge of local market (that and/or complex products.
he/she would be supporting) and its impact on • Usually assigned to product areas with
business. high-growth potential and has fully
• Should be conversant with Project Management developed core expertise on industry
skills and be able to drive cross functional trends, market segments and competitor
projects across teams. services/offerings.
• Should have core expertise in financial services • Develops ideas for new products.
operations preferably in Capital markets domain. Ensures that risk, regulations, and market
conditions are accounted for throughout
the life-cycle of developed products.
• Analyzes complex client requirements
and develops solutions that may include
more than one product.
• Must understand the economics behind
products and demonstrate business
acumen.

Product & Research - Grade L (IC track)
Competencies
• Knowledge of business operations in Banking & • Leads product management,
Financial Services industry. development and strategy for significantly
• Should have knowledge of local market (that large and/or complex products of
he/she would be supporting) and its impact on strategic importance.
business. • Role is not always tied to a specific
• Should be conversant with Project Management product.
skills and be able to drive cross functional • Usually assigned to product areas with
projects across teams. high-growth potential or that represent a
• Should have core expertise in financial services niche/specialty offering and has fully
operations preferably in Capital markets domain. developed core expertise on industry
trends, market segments and competitor
services/offerings.
acumen.

Analytics - Grade I (IC track)
4 to 8 years of Total work experience preferred .Preferred Certification : R, Python, Alteryx, SAS, Spark, Machine
Experience
Learning, Deep Learning, Tableau
Role Summary: Business/Market Analytics & Design
Competencies
• Technical & Functional • Works independently to manage a range
• Hands-on experience in designing analytics of moderately complex products from
using multiple tools development to sales and delivery.
• Strong business analysis skills Products can be domestic, regional, or
• Knowledge of Finance world global in nature.
• Supports more experienced colleagues
with relevant competitive, market and/or
financial analyses to gain breadth/depth
development.

Analytics - Grade J (IC track)
8-12 years of Total work experience preferred . Preferred Certification : R, Python, Alteryx, SAS, Spark, Machine
Experience
Competencies
• Hands-on experience in designing analytics • Works independently to manage a range • Prior experience
using multiple tools of moderately complex products from of managing work
• Strong business analysis skills development to sales and delivery. for a group up to
• Very good understanding of finance world • Products can be domestic, regional, or 4
• Able to manage stakeholders to achieve results global in nature.
• Able to connect dots • Supports more experienced colleagues
with relevant competitive, market and/or
financial analyses to gain breadth/depth
development.

Analytics - Grade K (IC track)
12-16 years of Total work experience preferred . Preferred Certification : R, Python, Alteryx, SAS, Spark, Machine
Experience
Competencies
• Technical & Functional • Leads product management, Prior experience of
• Hands-on experience in designing analytics development and strategy for large managing work for
using multiple tools and/or complex products. at least group of 4
• Strong business analysis skills • Usually assigned to product areas with
• Very good understanding of finance world high-growth potential and has fully
• Able to manage stakeholders to achieve results developed core expertise on industry
• Able to connect dots trends, market segments and competitor
• Has understanding of our business to be able to services/offerings.
make judgements around prioritization of use- • Develops ideas for new products.
cases Ensures that risk, regulations, and market
conditions are accounted for throughout
the life-cycle of developed products.
acumen.

Client Experience - India

Client Experience-Business Overview
Core task of the Service Director in Client experience team is to Monitor quality of daily service delivery and
escalate significant issues timely through regular reporting to client Pod and management. The agreed
services are outlined in SLAs, SLDs or Client profiles. These documents together with Service Reviews, KPIs
and internal meetings are the basis for this process.
Service Director - GFI: Core task of the Service Director is to Monitor quality of daily service delivery and escalate significant issues
timely through regular service reviews. SD needs to ensure Complaints are professionally handled, reported and resolved. Maintain a
continuous Service Quality Improvement plan to cover both short and long term improvements in addition to action plans to improve our
service provider ranking with clients (where applicable). Ensure that negative service trends and service gaps are effectively escalated and
successfully resolved. Establish a robust support structure by activity and or clients for the existing EMEA and US Service Directors (SD);
including Billing and Debtor management, Know your Customer (KYC) / Business Acceptance Committee (BAC) / Anti Money Laundering
support*(AML) collation of information/’documentation for Global Service Directors, Oversee Account Maintenance / Client Onboarding /
Fund Events, etc.
Service Director - IMR: Core task of the Service Director is to Monitor quality of daily service delivery and escalate significant issues
timely through regular service reviews for Third Party Fund managers. SD needs to ensure issues/escalations are professionally handled,
reported and resolved. Maintain a continuous Service Quality Improvement plan to cover both short and long term improvements in addition
to action plans to improve our service provider ranking with clients (where applicable). Ensure that negative service trends and service gaps
are effectively escalated and successfully resolved. Handholding the M during onboarding and supporting them through documentation and
account/market opening.
Custody Client Service : Providing Custody Client Services (CCS) to US/APAC clients, working closely with Hong Kong (APAC BCS),
Singapore (BCS SG) and Korea CCS teams. Participate on day-to-day basis as a client/investment manager contact for custody product
and service offering: interfacing with client/investment manager to lead resolution of queries and issues regarding day to day operations,
account opening, trade settlement, instruction format, corporate actions, market requirement and all other aspects of the custody and cash
services.

Legend
Client Experience - Career Matrix Existing Roles In India
Sr Specialist,
Job Complexity
Sr Specialist, Relationship Mgmt

Relationship Mgmt (K-PM)
(K-IC) Specialist,
Specialist, Relationship Mgmt
Relationship Mgmt (J-PM)
(J-IC)
Senior Analyst, Buss
Specialist, Client
Devp Sup,
Service,
(H-Support)
(J-Management)
Analyst, Data Mgmt Senior Analyst,
& Quant Analysis, Client Service,
(G-Support) (H-IC)
Custody Client
Service Director Group Services

Navigation
Functional

Cross


Job Code Family:

70059 Senior Specialist, Relationship Management IC/PM
70060 Specialist, Relationship Management IC/PM
70103 Specialist, Client Service Individual Contributor
70039 Senior Analyst, Business Development Support Support
70128 Analyst, Data Management & Quantitative Analysis Support

Growth Matrix :
Sr Specialist,
Relationship Mgmt
(K-IC/PM)
Specialist,
Relationship Mgmt
(J-IC/PM)
Senior Analyst, Buss

Devp Sup,
(H-Support)
Analyst, Data Mgmt &

Quant Analysis,
(G-Support)

Client Experience - Cross Functional Career Matrix
Instructions
Processes under Client

Portfolio Services - Client Service GRS - Production Support Experience


further details

Click on “Client Experience” in
Service Director
Group
GRS - Production Support

Custody Client
Services
GIA - Client Service - GIA & Global Portfolio Services - Client Service

Analyst, Data Mgmt & Quant Analysis - Grade G (Support Track)
2-3 years of total work experience preferred. Experience in Custody operations or Client Service Delivery
Experience
preferred. Knowledge of Microsoft Office (excel, PPT etc.) is a must.
Role Summary
Competencies
• Understanding of financial market, • Strong verbal and written • Ensures Accountability - • Proficiency in MS Office
trade life cycle and financial. communication skills Takes ownership of the (excel, PowerPoint,
• Knowledge on billing, invoicing and • Email and Telephone Etiquettes Task assigned. Word)
MIS reports. • Analytical skills are essential to • Drives Results. • Exposure to GSP,
• Understanding of data and MIS find out ways for process • Builds Effective Teams Engage, Mind etc.
reports. improvements. • Developing Partnerships • Exposure to Research
• In-depth knowledge of excel • Prioritization – Time Databases (such as
formulas and macros Management, work Bloomberg or IDC)
management. • Exposure Data
• Innovation & Problem solving. Analytical tools is an
• Prepare MIS Reports and added advantage
circulate across management
team for visibility purpose.

Senior Analyst, Buss Devp Sup, - Grade H
Experience
Roll Summary
Works with external clients to resolve moderately complex day-to-day issues and direct them to appropriate resources at
BNY Mellon.
Competencies

• Understanding of financial market, trade • Strong verbal and written • Identifies trends, provides • Proficiency in MS Office
life cycle and financial. communication skills. root cause analysis and (excel, PowerPoint,
• Knowledge on billing, invoicing and MIS • Email and Telephone executes on Word)
reports. Etiquettes recommendations. • Exposure to GSP,
• Interpersonal Skills • Ensures Accountability - Engage, Mind etc.
• Timely Prioritization of Takes ownership of the • Exposure to Research
process enhancements. Task assigned. Databases (such as
• Presentation skills are • Receives guidance from Bloomberg or IDC)
essential. more experienced staff. • Exposure Data Analytical
• Strong Analytical skills tools is an added
required. advantage

Senior Analyst, Client Service, - Grade H Back to Career Matrix

Experience
Roll Summary
Performs core activities supporting the life cycle of sales, including technology product sales, implementations and
demonstrations. Supports new business and ensures all client-related onboarding aspects are completed. Conducts Business
Development analytics, tracks individual targets and connects with relationship managers. Performs client assessments to
determine requirements and develops tailored proposals, coordinating and managing legal reviews as needed. Conducts market
research, prepares pricing and profitability modeling and materials for marketing.
Competencies

• Understanding of financial market, trade • Strong verbal and written • Identifies trends, provides • Proficiency in MS Office
life cycle and financial. communication skills. root cause analysis and (excel, PowerPoint,
• Knowledge on billing, invoicing and MIS • Email and Telephone executes on Word)
reports. Etiquettes recommendations. • Exposure to GSP,
• Interpersonal Skills • Ensures Accountability - Engage, Mind etc.
• Timely Prioritization of Takes ownership of the • Exposure to Research
process enhancements. Task assigned. Databases (such as
• Presentation skills are • Receives guidance from Bloomberg or IDC)
essential. more experienced staff. • Exposure Data Analytical
• Strong Analytical skills tools is an added
required. advantage

Specialist, Relationship Mgmt- Grade J Back to Career Matrix

3-5 years of total work experience preferred. Experience in Relationship Management or Client Service
Experience
Delivery preferred.
Role Summary
With guidance, develops the strategic plan for managing and growing existing client relationships, with a focus on revenue
retention. Identifies opportunities for incremental account growth. Serves in a consultative role to the client, advising on the best
way to achieve short- and long- term strategic objectives. From a global, bank-wide perspective, clients are usually well-
established, relatively small, more locally-focused and less complex. May assist a more senior Relationship Manager on large
or complex accounts to gain breadth/depth of knowledge. Is the client's advocate and may serve as the ultimate escalation
point for client satisfaction.
Competencies

• Core understanding of the business, • Strong verbal and written • Identifies trends, provides root • Proficiency in MS
its strategy and its products/services. communication skills. cause analysis and executes on Office (excel,
• Ability work under pressure and • Email and Telephone recommendations. PowerPoint, Word)
deadlines. Etiquettes. • Conducts technical testing and • Exposure to GSP,
• Good understanding of financial • Interpersonal Skills the implementation of Engage, Mind etc
market, trade life cycle and financial. • Timely escalations reconciliation software changes. • Exposure to Research
• Understanding standard messaging • Prioritization. • Receives guidance from more Databases (such as
system like SWIFT is essential. • Strong Analytical skills experienced staff. Bloomberg or IDC)
• Effectively needs to handle required. • Reach out to customers and • Exposure Data
escalations and take preventive • Time and Resource stake holders to see what are Analytical tools is an
majors so that issue will not occur management. the requirements and changes added advantage
again. • Experience in around services that they are
performance management expecting.
process is essential.

Sr. Specialist, Relationship Mgmt- - Grade K Back to Career Matrix

5-7 years of total work experience preferred. Experience in Relationship Management or Client Service
Experience
Delivery preferred.
Role Summary
Independently develops the strategic plan for managing and growing existing client relationships, with a focus on revenue
retention. Identifies opportunities to evolve client business for incremental account growth. Serves in a consultative role to the
client, advising on the best way to achieve short- and long- term strategic objectives. From a global, bank-wide perspective,
assigned to core, small to moderately-sized clients of limited complexity, often with a local or regional focus. Has developed core
understanding of the business, its strategy and its products/services; may assist a more senior Relationship Manager on large or
complex accounts to gain additional breadth/depth of knowledge. Is the client's advocate and may serve as the ultimate
escalation point for client satisfaction.
Competencies
• Core understanding of the • Strong verbal and written • Monitor trends, provides root cause • Proficiency in MS
business, its strategy and its communication skills. analysis and provide details to Senior Office (excel,
products/services. • Email and Telephone Management. PowerPoint, Word)
• Ability work under pressure Etiquettes • Ensure that all functions are running • Exposure to GSP,
and deadlines. • Interpersonal Skills smoothly without any issues on people Engage, Mind etc.
• Good understanding of • Timely escalations and process side. • Exposure to
financial market, trade life • Prioritization. • Should take inputs from staff as well Research
cycle and financial. • Strong Analytical skills as stake holders and propose Databases (such as
• Understanding standard required. implementation of process Bloomberg or IDC)
messaging system like • Time and Resource enhancement to Management. • Exposure Data
SWIFT is essential. management. • Conduct customer voice survey and Analytical tools is
• Effectively needs to handle • Experience in performance provide results to Senior an added
escalations and take management process is Management. advantage
preventive majors so that essential • Should groom and mentor people to
issue will not occur again. help them grow.


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BNY Mellon India Career Roadmap

Executive Sponsor: Nishad Pawar

Led by Anup Yadav, Vishaka Chitgopkar

How to Navigate through the Career Roadmap

• Each business function has the below slides:

• Overview slide: provides a brief overview of the business

2 Information Classification: Confidential

Portfolio Services Fund Accounting USTA Asset Servicing

Treasury Services GIA EMEA TA Business Development

IVC,IPG, Settlements GFASS & FA TCM AIS Product Management

Reconciliations Financial Reporting Client Experience

3 Information Classification: Confidential

Portfolio Services Fund Accounting USTA Asset Servicing

Treasury Services GIA EMEA TA Business Development

IVC,IPG, Settlements GFASS & FA TCM AIS Product Management

Reconciliations Financial Reporting Client Experience

4 Information Classification: Confidential

5 Information Classification: Confidential

6 Information Classification: Confidential

Lead (I- IC)

Corporate Actions & Client Service

Process/ Product Complexity

Portfolio Treasury IVC,IPG, CT & CT Fund GFASS & FA Financial

Client Business Product Client

7 Information Classification: Confidential

Job Code Job Title Job Track

8 Information Classification: Confidential

Intermediate Representative IntermediateRepresentative

9 Information Classification: Confidential

Processes under Portfolio

Processes across functions

DSD - Corporate Actions

SDM - Corporate Actions

IVC, IPG, Settlements

AIS - Fund Accounting

Client Experience -Service Director

Client Experience -Custody Client

GIA - Client Service - GIA & Global

USTA - Client Services

10 Information Classification: Confidential

11 Information Classification: Confidential

12 Information Classification: Confidential

13 Information Classification: Confidential

14 Information Classification: Confidential

Technical/ Functional Professional Leadership Systems

15 Information Classification: Confidential

16 Information Classification: Confidential

17 Information Classification: Confidential

18 Information Classification: Confidential

19 Information Classification: Confidential

Technical/ Functional Professional Leadership Systems

20 Information Classification: Confidential

21 Information Classification: Confidential

22 Information Classification: Confidential

23 Information Classification: Confidential

24 Information Classification: Confidential

25 Information Classification: Confidential

26 Information Classification: Confidential

Existing Roles In India

Process/ Product Complexity

Portfolio Treasury IVC,IPG, CT & CT Fund GFASS & FA Financial

Client Business Product Client

27 Information Classification: Confidential

Job Code Job Title Job Track