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Trade and Surveillance Officer

Type de contrat

Standard / Permanent



Métier / fonction




BNP Paribas Overview


BNP Paribas has a presence in 75 countries with more than 185,000 employees, including 145,000 in Europe. It ranks highly in its two core activities: Retail Banking & Services and Corporate & Institutional Banking (CIB).


BNP Paribas Corporate & Institutional Bank is a leading European investment bank with global leadership in many of our businesses. With nearly 20,000 employees in over 45 countries, CIB can offer you an exciting and truly global career.


At BNP Paribas CIB, we work continuously on behalf of our clients, helping them to realise their projects around the world. You can be an important part of this, helping us to serve our clients both in mature and emerging markets, providing them with financial solutions across a diverse range of expertise, products and services. Our origins lie in Europe but nearly a quarter of our employees now works in our multi-award-winning Asia Pacific offices and we are a committed player in all markets.


Strong risk management, combined with the stability that comes from being part of one of the largest banking groups in the world, underpin our success. Joining us, you’ll become an integral part of a dynamic team that spans nationalities, cultures and backgrounds, drawing together people from around the globe and reflecting our commitment to international placements.


Department purpose / objectives:


Global Markets is BNP Paribas’ capital markets business within the Corporate & Institutional Bank (CIB), delivering solutions across asset classes, and industry-leading services for clients including Institutionals, corporates, private banks and retail distribution networks.


Global Markets encompasses seven global business lines; G10 Rates, Equity Derivatives, Forex & Local Markets, Commodity Derivatives, Credit, Prime Solutions & Financing and Primary Markets, helping their franchise of clients find effective ways to raise and invest capital as well as manage their exposure to risk.


Global Markets is made up of over 3,700 staff globally based in EMEA, the Americas and Asia Pacific, with the main trading floors located in London, Hong Kong, New York, Paris, Singapore and Tokyo.


Purpose of the position:

In response to FCA conduct requirements, BNP Paribas has established a First Line of Defence Surveillance function within Global Markets (GM) FO reporting to OPC. GM Operational Permanent Control is part of Global Markets Strategy & Risk and is independent from the Business and is also part of the 1st Line of Defense.
This newly created function the FOCS team monitors today each Global Business Line’s Trading & Sales business activity and electronic Communications, with the objective of deterring, detecting, and preventing Conduct Risk breaches.
The team is unique in the industry and has proved efficient in identifying potential conduct risk to BNPP managers. The team can follow easily market events and work with FO management by being located within the trading floor.
Global Markets Management is committed to expand the FOCS team to other asset classes in order to reinforce its 1st LOD.


Specific Responsibilities of Role:

  • Work with IT to design surveillance tools to detect conduct risks and contribute to the enhancements of these tools
  • Create refine the Lexicon (List of keywords) in conjunction with the FO management as required to monitor more effectively communications
  • Monitor sales and trading activity to ensure compliance with appropriate rules, regulations and company policies and procedures
  • Ensure that the monitoring and surveillance results are documented and communicated appropriately to the heads of GBLs as well as for the heads of trading and sales, design and implement new controls
  • Liaise with the 2nd LOD (Compliance) to obtain additional information and further investigate potential conduct breaches
  • Provide expertise to the 2nd LOD with their investigations and analysis when required
  • Collaborate and maintain a good relationship with Desk Heads, and Senior Management and refine the escalation procedures, where possible, in order to help desk heads manage their business more effectively
  • Appropriate escalation of potential breaches to Compliance and/or Head of GBLs, Regional Head of Trading or Sales
  • Provide input into and assist with the drafting of the team policies and procedures


Competencies required for the role:



Be a role model, supporting and fostering a culture of good Conduct

Demonstrate proactivity, transparency, and accountability for identifying and managing conduct risks

Consider the implications of your actions on colleagues, partners and clients before making decisions, and escalate issues to your manager when unsure


Technical skills and qualifications required for the role: (Please include market, product and business experience, risk awareness - market, credit, operational, compliance, legal regulatory and reputational)

Market, Product and Business Experience

Good knowledge across a range of products with a deep expertise in at least one asset class: Equity Derivatives, Commodities (Energy, Metals, etc…), Fixed Income.

FO experience is essential

Awareness of Conduct Initiatives within the bank


Technical Skills

Good knowledge of trading systems

Advanced knowledge of Excel is essential

Bloomberg knowledge is an advantage


Business risk

Demonstrates a good awareness of risk and fundamental risk concepts.  Always considers risk in his/her daily activities and abides by the Key Front Officer Responsibilities and Principles and  Guidelines.

Understand conduct risks


Essential personal skills

Excellent communication, writing and presentation skills essential.

Strong interpersonal skills (both internal and external).

Organisation skills

Excellent analytical and problem solving skill




Displays dedication & prioritises problems by considering the impact on the business; identifies quick-wins



Stays calm and positive, controls his/her emotions in conflict or any situation of intense stress

Ability to undertake a number of  issues simultaneously is essential as well as the ability to work under considerable pressure

Passion, tenacity and resilience in an ever changing environment



Thinks laterally to identify other sources of useful information and sees ways around obstacles and barriers.