Job Title: Compliance Review Controller (Assistant Manager) Financial Security KYC
Department: India CoE Compliance Hub
About Business line/Function: Compliance Hub - India CoE is dedicated to safeguarding the Group's reputation and mitigating risk across its global businesses by supporting a broad range of Compliance functions. The Hub serves as a strategic global partner to Compliance teams worldwide, delivering expertise in Financial Security (KYC, Sanctions, and AML), controls framework, conduct and professional ethics, data analytics and governance, and transformation initiatives including AI adoption. The Hub teams collaborate closely with Compliance and business stakeholders across the Group to drive efficiency, strengthen controls, and enhance operational resilience.
Responsibilities
Direct Responsibilities
o Perform end-to-end testing of AML/SAN/KYC controls defined in the Group Generic control library and Compliance Control Library across all territories
o Verify that each control is designed effectively and operating as intended against the latest AML/CTF statutes, regulatory guidance and international sanctions regimes
o Develop detailed test plans, scripts and work‑papers for each control, referencing relevant policy documents and risk assessments
o Identify control gaps, deviations, or failures; perform root cause analysis and draft clear, risk-based remediation recommendations.
o Document all findings in the designated compliance system and produce a concise Findings & Recommendations Report for each testing cycle.
o Work with 1LoD conducting periodic reviews of existing customers, to confirm the information on file, reconfirm customers ownership structure, conduct PEP/negative news and sanctions check to ensure KYC completeness, accuracy and quality/readiness.
o Work closely with Country Compliance to seek additional information or clarifications.
o Collaborate with Country/Regional Compliance covering Financial Security to help ensure consistency in interpretation and application of existing and new regulatory requirements.
o Able to remediate KYC compliance issues (e.g. overdue/non-compliant files).
o Co-ordinate for timely closure of action plans recommended in response to adverse audit observations and regulatory examinations.
o Escalate issues and exceptions noted during control testing.
o Ensure close collaboration with domain Leads within TRM team who are responsible for the definition of the control methodology and accountable for the adequate execution of the controls.
o Communicate with local and regional compliance teams as required for the execution of controls and reporting of the results.
o Track status of corrective action plans agreed with Country Compliance.
o Assist in adhoc projects or activities as and as needed.
o Assist with the preparation of monthly/quarterly reports and related metrics.
o Assist line manager in overseeing ISPL‑level activities.
o Act as a point of contact in the manager’s absence, making decisions within delegated authority.
Contributing Responsibilities
o Comply with procedure and other relevant policies/ procedures of BNP Paribas group and regulations, and industry best practice.
o Collaborate and work in tandem with team members and relevant stakeholders
Be supportive and adoptive to changes of procedures and scope of work
o Coach, mentor, and train employees on policies, procedures, and best practices.
Technical & Behavioral Competencies
o Extensive AML/Sanctions/KYC experience and should be a subject matter expert (SME)
o Sound understanding of AML/Sanctions/KYC guidelines for APAC/ EU jurisdictions.
o Preferably, at least 8 years of AML/Sanctions/KYC Compliance experience. Prior work exposure in Audit team will be an added advantage.
o Formal training or qualification in AML/Sanction/KYC would be beneficial.
o Hands‑on experience with Transaction Monitoring Systems (e.g., Actimize) and Customer Screening / List‑Matching tools
o Understanding of international sanctions frameworks (OFAC, UN, EU, UK, Australian DFAT).
o Able to move to and from different clients/controls (and therefore different requirement scenarios), reports and projects throughout the day, which requires a high degree of flexibility and strong prioritization skills.
o 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.
o Ability to work independently as well as within a team
o An ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short time frames.
o Proficient in Microsoft Excel and PowerPoint.
Specific Qualifications:
o Bachelor's degree or higher from an accredited institution
o Audit experience or qualifications in finance
o ICA or ACAMS‑equivalent certification (preferred)
Skills Referential (Required knowledge, skills and abilities)
Transversal Skills:
o Analytical Ability
o Ability to develop and adapt a process
o Ability to develop others & improve their skills
o Ability to set up relevant performance indicators
o Ability to develop and leverage networks
Behavioral Skills:
o Strong collaborative and teamwork abilities
o Meticulous attention to detail and a rigorous approach
o Sound decision‑making capabilities
o Excellent oral and written communication skills
Education Level: Bachelor Degree or equivalent
Location: Mumbai
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 specialized 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.
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.
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. 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.
