About BNP Paribas Group:
BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 71 countries, with approximately 199,000 employees. The Group has key positions in its three main activities: Domestic Markets and International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises: corporate clients and institutional investors. The Group helps all its clients (individuals, community associations, entrepreneurs, SMEs, Corporates and institutional clients) to realize their projects through solutions spanning financing, investment, savings and protection insurance.
About BNP Paribas India Solutions:
Established in 2005, BNP Paribas India Solutions is a wholly owned subsidiary of BNP Paribas SA, a leading bank in Europe with an international reach. With delivery centers located in Bengaluru, Chennai and Mumbai, we are a 24x7 global delivery center. India Solutions services three business lines: Corporate and Institutional Banking, Investment Solutions and Retail Banking for BNP Paribas across the Group. Driving innovation and growth, we are harnessing the potential of over 6000 employees, to provide support and develop best-in-class solutions
About the Function :
Capital Markets Surveillance Compliance (CMS CPL) performs a 2LOD oversight function in regards to 1LOD activities (Front Office Conduct Surveillance - FOCS). Within the Independent Testing team, the Quality Assurance function is responsible for putting in place relevant controls to review, monitor and escalate (as required) FOCS activity. The scope of the team includes controls across both electronic communication and trade surveillance.
Associate Level 1 - Captial Market Investigator
ISPL - Compliance
Business Line / Function:
Number of Direct Reports:
Directorship / Registration:
Compliance performs a Quality Assurance review that provides oversight on the electronic communications surveillance activities performed by the FOCS team. This QA function includes a focus on FOCS’ daily voice surveillance of recorded phone conversations for monitored employees. The QA analyst will work closely with the AMER based QA team to fulfill all related duties.
- Conduct re-performance of surveillance activities completed by the FOCS voice surveillance team.
- Perform related QA functions such as sample creation, sample review/assessment and analyst scoring.
- Document and properly summarize deficiencies in regards to analyst actions vs. SOPs, firm/industry requirements, satisfactory risk controls as well as other generally accepted surveillance standards.
- Notify stakeholders of assigned remediation actions and track remediation activity as applicable for any noted findings.
- Create additional voice surveillance and voice surveillance QA related metrics for management reference.
- Assist in the preparation of a monthly Voice Surveillance Quality Assurance report.
- Escalate potential issues and risk concerns noted during the re-performance of controls to Surveillance Oversight Management for discussion and further investigation if deemed necessary.
- Conduct or assist with special investigations and projects as assigned by senior Compliance Management.
- Respond timely to internal or external requests for information and analysis.
- Achieve objectives within tight time constraints while balancing competing priorities.
- Provide day-to-day assistance and support to the local Surveillance teams as deemed applicable.
- Assist in the enhancement of existing processes and develop new processes for identifying instances of surveillance deficiencies during QA.
- Contribute to the implementation of Regulatory, Group and CIB standards.
- Contribute to regional or global projects with a view to ensuring that they are delivered effectively and efficiently.
- Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to Compliance policies and procedures as issued from time to time.
- Maintain appropriate knowledge to ensure to be fully qualified to undertake the role.
- Complete all mandatory training as required to attain and maintain competency.
Technical & Behavioral Competencies
- Ability to work independently within a larger and regionally diverse team
- Demonstrate personal initiatives, ownership and accountability
- System familiarity on Actimize, NICE, RedOwl, Sharepoint, Verba is a plus
- Additional language fluency skills is a plus
Specific Qualifications (if required)
- Fluent language proficiency in English with a heightened emphasis on reviewing oral conversations.
- Professional level knowledge of securities and banking regulation.
- Knowledge of trading and business terminology. Previous experience in trade or trade support type functions are a plus
- Prior surveillance/compliance experience within a financial services/securities environment.
- Knowledge of MS office specifically Excel.
Behavioural Skills: (Please select up to 4 skills)
Communication skills - oral & written
Ability to collaborate / Teamwork
Attention to detail / rigor
Transversal Skills: (Please select up to 5 skills)
Ability to develop and adapt a process
Ability to manage a project
Ability to understand, explain and support change
Ability to manage / facilitate a meeting, seminar, committee, training…
Bachelor Degree or equivalent
At least 5 years
Other/Specific Qualifications (if required)
Bachelor’s Degree or higher
Bachelor’s Degree or higher