Associate - Compliance Professional Ethics

Job Title: Associate (Compliance Analyst -9670)

Department: India CoE Compliance Hub – Professional Ethics

About Business line/Function: CIB 

India COE Compliance Hub: India CoE Compliance Hub enables safeguarding the Group’s reputation and mitigating the risks across all business lines by supporting the Compliance functions globally. Currently, the India CoE Hub is structured into divisions aligned with the areas they serve, offering services for Group Compliance COO TOP, trade surveillance, electronic communications monitoring, transversal risk management, personal account dealing, MIS, and project support. The team collaborates closely with business partners worldwide

Position Purpose: 

 Responsibilities

Direct Responsibilities

·  Review and validate employee personal trading requests in accordance with the firm's personal account dealing (PAD) policy

·  Conduct reconciliation between the account movements and the dealing approval

·  Update results of the reconciliation

·  Follow-up with outstanding statements from sensitive staff concerned

·  Flag exceptions on dealing approval

·  Reviewing G&I requests and validating as per firm’s GIFTS & Invitations (G&I) policy

·  Review of mass / large events invitations

·  Follow-up with staff for taking the action on pending G&I requests

·  Manage the licensing process for relevant personnel to ensure compliance with local regulations.

·  Follow-up with staff, stake holders for various documents and appropriate approvals

·  Data management: Maintain accurate records for audit

·  Assign/ Propose classification to new joiners/ movers as per staff’s job role

·  Follow-up with outstanding staff for acknowledgement

·  Prepare reports as per requirement (E.g. management, audit, business, etc)

·  Investigation and Breach Management: Support discrepancy investigation and issuance of breach

·  Monitor mailbox and answer respond to staff queries 

·  Monitor local process/ policy to identify areas for improvement

·  Assist AM’s in providing data related to KPI, MIS or dashboards

Contributing Responsibilities

·  Working knowledge of financial markets, products and regulatory environment

·  Professional level knowledge of Professional ethics, compliance and capital markets

·  Fluent reading proficiency in English.

·  Minimum 3 years of relevant compliance and or financial product experience

·  Good user of Microsoft Office (i.e. Outlook, MS Excel; Word, Visio, PowerPoint)

Technical & Behavioral Competencies

· Good knowledge of financial products, the securities industry, and awareness of financial regulatory environment 

·  Strong analytical skills, attention to detail

· Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all staff

·  Able to work independently and as part of a team

·  Ability to work under pressure

·   Willingness to sometimes work outside normal business hours or on public holidays to meet reporting obligations

·   Ability to comprehend issues and breaches in a timely manner and raise it to the relevant stakeholders without any delay

·  General understanding of the associated risks

·  Strong ability to meet deadlines

Specific Qualifications: NA

Skills Referential (Required knowledge, skills and abilities)

Technical Skills:

·  Microsoft excel and word

·  Capital Markets

·  Compliance 

·  Transaction Reconciliation

·  Data analysis & Research

Behavioral Skills: 

·  Eye for detail      

·  Self-motivated

·  Team player

·  Analytical thinking

·  Time management & Prioritization

Education Level: Minimum graduate (B.com, BMS, BBI)

Location: Mumbai (Maharashtra)

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.