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Associate Level 1 / Senior Associate - Capital Markets Investigator- Ecom Surviellance

Mise à jour le 17.06.2024

About BNP Paribas India Solutions:

Established in 2005, BNP Paribas India Solutions is a wholly owned subsidiary of BNP Paribas SA, European Union’s leading bank 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 10000 employees, to provide support and develop best-in-class solutions.

About BNP Paribas Group:

 BNP Paribas is the European Union’s leading bank and key player in international banking. It operates in 65 countries and has nearly 185,000 employees, including more than 145,000 in Europe. The Group has key positions in its three main fields of activity: Commercial, Personal Banking & Services for the Group’s commercial & personal banking and several specialised businesses including BNP Paribas Personal Finance and Arval; Investment & Protection Services for savings, investment, and protection solutions; and Corporate & Institutional Banking, focused on corporate and institutional clients. Based on its strong diversified and integrated model, 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. In Europe, BNP Paribas has four domestic markets: Belgium, France, Italy, and Luxembourg. The Group is rolling out its integrated commercial & personal banking model across several Mediterranean countries, Turkey, and Eastern Europe. As a key player in international banking, the Group has leading platforms and business lines in Europe, a strong presence in the Americas as well as a solid and fast-growing business in Asia-Pacific. BNP Paribas has implemented a Corporate Social Responsibility approach in all its activities, enabling it to contribute to the construction of a sustainable future, while ensuring the Group's performance and stability

Commitment to Diversity and Inclusion

At BNP Paribas, we passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued, respected and can bring their authentic selves to work. We prohibit Discrimination and Harassment of any kind and our policies promote equal employment opportunity for all employees and applicants, irrespective of, but not limited to their gender, gender identity, sex, sexual orientation, ethnicity, race, colour, national origin, age, religion, social status, mental or physical disabilities, veteran status etc. As a global Bank, we truly believe that inclusion and diversity of our teams is key to our success in serving our clients and the communities we operate in.

About Business line/Function:

ISPL Compliance Hub as a department was established in November 2013 at ISPL in Mumbai, India with the hire of 
a department head. The ISPL team provides support on compliance administrative level tasks to BNPP compliance 
teams globally. 
The scope of work includes offshoring administrative and Level I support to functions such as: 

·       Training Support 

·       Capital Markets Surveillance 

·       Employee Personal Account Dealing 

·       Electronic Communications Surveillance 

·       Offshoring/Outsourcing Coordination 

·       Projects & System Support 

·       KYC Support 

·       AML Post transaction monitoring Support 

Job Title:

Capital Markets Investigator - Ecom Surveillance




ISPL Compliance HUB



Business Line / Function:

ISPL Compliance HUB

Reports to:




(if applicable)



Number of Direct Reports:


Directorship / Registration:


Position Purpose

The number of surveillance models that are being deployed for compliance is expanding at a very fast pace. This expansion is being driven by new regulations and by an increase in the recommendations that are the output of internal and external audits and regulatory visits. This expansion will also increase the alert population and surveillance coverage and will require additional staff to investigate each occurrence to determine whether there is sufficient reason to generate a suspicious activity report.


Direct Responsibilities

·       Detect, review and report potentially suspicious activities.

·       Review email and other electronic communications of bank employees for adherence to firm and regulatory rules and requirements.

·       Use any available research tools to identify publicly available information concerning transactions and communications identified for further investigation.

·       Conducting both routine and special inquiries as required or requested.

·       Performing routine administrative duties and reviews

·       Working with local Compliance managers to resolve instances of apparent breaches from firm and regulatory rules

·       Proactive and timely escalation of issues (including those from investigations) with adequate supporting information to the Monitoring Manager

Contributing Responsibilities

·       Provide day-to-day assistance and support to the local Surveillance teams 

·       Assisting in regulatory and internal investigations as assigned by the Compliance Management Team

·       Ensure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary

·       Assist in preparing management information and reporting regarding surveillance and monitoring activities

·       Contribute to the implementation Regulatory, Group and CIB standards against market abuse and breaches of Conduct of Business rules etc.

·       Assist in the enhancement of existing processes and develop new processes for identifying instances of Market Abuse and breaches to Conduct of Business and Exchange rules etc.

·       Ensure the use of workflow investigation tools

·       Contribute to the relationship with local Regulators and Exchanges as required

·       Contribute to the set-up, implementation and operation of risk prevention tools

·       Contribute to the implementation of Regulatory, Group and CIB standards against money laundering, fraud, corruption, terrorism, etc.

·       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; Financial Crime Prevention requirements, including, but not limited to, the prevention of Financial Crime and Fraud including reporting obligations to the Money Laundering Reporting Officer.

·       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

·       At least 2 years’ experience in banking /financial industry

·       A good understanding of capital markets

·       Familiar with Market Manipulation types

·       Good communication skills and eager to learn

·       Analytical and with an investigative eye for accurate details and red-flag situations

·       Ability to work in a team as well as independently

·       Ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short timeframes

·       Must evidence an attention to detail and have an investigative and questioning nature

·       Must have strong interpersonal skills, a flexible, collaborative and team-oriented approach to problem-solving and an ability to work in a fast-paced, rapidly changing environment

Specific Qualifications (if required)

o  Capital Markets Certifications

o  Bachelor’s degree or higher, in some type of investment banking discipline

Skills Referential

Behavioural Skills:

Ability to collaborate / Teamwork

Communication skills - oral & written

Critical thinking


Transversal Skills:

Analytical Ability

Ability to manage a project

Ability to develop and adapt a process

Ability to understand, explain and support change

Choose an item.

Education Level:

Bachelor Degree or equivalent

Experience Level

At least 3 years

Other/Specific Qualifications (if required)

Capital Market Certifications

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Découvrez les métiers de BNP Paribas : Gestion des opérations

Maillons indispensables au bon fonctionnement de notre Groupe, les métiers de Gestion des opérations visent à garantir la satisfaction de nos clientèles et de nos équipes au quotidien. Une activité stimulante, qui fait rimer efficacité et esprit d’équipe.

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Pourquoi je candidaterais ?

Pour quelles raisons je rejoindrais BNP Paribas et pas une autre entreprise ?

Parce que je souhaite...

  • Et si on vous disait que travailler dans notre Groupe, ce n’est pas ce que vous croyez ? Chez BNP Paribas, on exerce une multitude de métiers qui évoluent en permanence pour être en phase avec les attentes des clientes et clients comme de la société. Au travers d’actions du quotidien ou de grands projets, exercer l’un de nos métiers, c’est s’engager pour agir durablement.

  • Se sentir bien dans son job, c’est avant tout venir travailler comme on est.  C’est aussi avoir les moyens d’un bon équilibre entre sa vie professionnelle et sa vie personnelle. Deux engagements majeurs pour BNP Paribas.

  • Chez BNP Paribas, le développement de vos compétences est essentiel, pour vous comme pour nous. Et cela vous servira pour toute votre vie professionnelle.

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