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Associate Level 1/Sr. Associate - TRM Control Testing

Mise à jour le 01.06.2024

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:

Associate Level 1/Sr. Associate - TRM Control Testing




ISPL Compliance HUB



Business Line / Function:

ISPL Compliance HUB

Reports to:




(if applicable)




Number of Direct Reports:


Directorship / Registration:


Position Purpose

Perform AML/Sanction Independent control testing


Direct Responsibilities

·       Perform AML/Sanction Independent control testing, based on Group Control Plans, on the following domains:

- Financial Sanctions

- Anti Money Laundering / CFT

- Professional Ethics

·       Escalate issues and exceptions items noted during the controls.

·       Ensure close collaboration with the domain Leads in the TRM team who are responsible for the definition of the control methodology and accountable for the adequate execution of the controls.

·       Communicate with Local and regional Compliance teams as required for the execution of the controls and the presentation of the results.

·       Track status of corrective action plans agreed with Country Compliance/Business.

·       Maintain detailed and organised documentation of work products.

·       Coordinate with other professionals in the organisation, including other Compliance teams, as necessary.

·       Assist in special projects as needed, support management with regulatory exams and Inspection Generale as needed.

Compliance Risk Management

·       Ensure appropriate APAC Compliance governance over the deployment of Risk Control and Self-Assessment (RCSA) for Compliance-owned processes.

·       Coordinate and contribute to the check & challenge of Compliance risks which have been assessed in the RCSAs from the business lines and from Compliance operational entities.

·       Contribute to risk management related exercises and reports for senior management at regional and global levels.

·       Ensure adequate reporting on Risk Management matters.

Compliance procedure, incident and audit management framework

·       Ensure implementation of procedures throughout the Compliance organization in collaboration with local procedure managers

·       Perform 2nd level of controls on procedure management at territory level.

·       Work with Territory Compliance and coordinate Regulatory missions and IG missions including information and documentation collection to address regulatory/audit requests.

·       Provide status report of open/overdue recommendations to Country Compliance, Domain Compliance and Regional COO, on a regular basis.

·       Issue dashboard to communicate notable issues identified through regulatory and audit missions, to senior management.

·       Work closely with RISK, local Compliance and Operational Permanent control teams to ensure the appropriate management of Compliance-related incidents.

Communication and reporting

·       Ensure that high quality reports are published.

·       Communicate on control and risk management matters with relevant Compliance / Business / Territory stakeholders.

·       Provide status report to Management on a regular basis

Contributing Responsibilities

·       Comply with procedure and other relevant policies/ procedures of BNP Paribas group and regulations, and industry best practice.

·       Collaborate and work in tandem with team members and relevant stakeholders.

·       Be supportive and adoptive to changes of procedures and scope of work

Technical & Behavioral Competencies

·       Extensive AML/Sanction/KYC experience, including subject matter expertise on all these profiles regardless of entity type and risk level. Must be well versed in these entity types, potential risk factors and how this plays into the AML/KYC requirements that must be fulfilled for each entity.

·       Preferably, at least 5 years of working Audit experience with 3 years of AML/Sanction/KYC Compliance experience and Risk management.

·       Able to move to and from different clients (and therefore different requirement scenarios), reports and projects throughout the day, which requires a high degree of flexibility and strong prioritization skills.

·       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, and preferably with some experience of dealing in multiple countries in Asia Pacific.

·       Have extensive research skills to aid in establishing and/or validating required information and documentation.

·       Ability to work in a team as well as independently.

·       Good communication skills and eager to learn

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

Specific Qualifications (if required)

Bachelor's degree or higher from an accredited institution

Audit and risk Management experience or qualifications in finance or accounting.

Skills Referential

Behavioural Skills:

Active listening

Communication skills - oral & written

Decision Making

Ability to deliver / Results driven

Transversal Skills:

Analytical Ability

Ability to develop and adapt a process

Ability to develop and leverage networks

Ability to understand, explain and support change

Ability to manage a project

Education Level:

Bachelor Degree or equivalent

Experience Level

At least 2 years

Other/Specific Qualifications (if required)


Bachelor's degree or higher from an accredited institution

Audit and risk Management experience or qualifications in finance or accounting.

Découvrez les métiers des fonctions transverses chez BNP Paribas

Intégrer des métiers comme les Achats, le Marketing ou bien les Ressources Humaines, c’est contribuer au bon fonctionnement du Groupe et à son rayonnement. Autant de spécialités et donc d’opportunités à découvrir !

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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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