The bank for a changing world

We are looking for

Captial Market Investigator - Paris - Associate/ Sr Associate

Apply REF: BNP017849

About BNP Paribas Group:
Worldwide, BNP Paribas has a presence in 74 countries with more than 190,000 employees. It 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. In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 15,000 employees* and a presence in 14 markets, it provides clients with product and service solutions tailored to their specific needs, and continues to develop its franchise in the region.

About BNP Paribas India Solutions:

Established in 2005, BNP Paribas India Solutions is a wholly owned subsidiary of BNP Paribas Group, a leading bank in Europe with an international reach. With delivery centers located in Mumbai and Chennai, we are a 24x7 global delivery center. We partner various business lines of BNP Paribas such as Corporate and Institutional Banking, Wealth Management, Retail Banking through three verticals - Information Technology, Operations and Finance Shared Services.

About Businessline/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


ISPL Compliance Hub

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

o    Review, Analyse and dispose alerts AT LEVEL 1 in accordance with relevant review as defines in the operating guidelines
o    As necessary use available research tools to identify publicly available information concerning transactions identified for further investigation
o    Review alerts generated by an automated monitoring system to identify transactions deserving of further investigation

Contributing Responsibilities

o    Obtain and upload alert analysis results and relevant material for record keeping purposes and conclude the alerts with the indicative target timelines without compromising the quality and completeness of the analysis
o    Ensure escalation of atom alerts to country compliance is proper, in a timely manner and supported by relevant information and due diligence search results
o    Comply with procedure and other relevant policies/ procedures of bnpp and regulations, and industry best practice
o    Collaborate and work in tandem with team members and relevant stakeholders
o    Be supportive and adoptive to changes of procedures and scope of works
o    Meet the QA requirements and the expected daily alert disposal volume 

Technical & Behavioral Competencies

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

o    A good understanding of capital markets

o    Familiar with Market Manipulation types

o    Good communication skills and eager to learn

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

o    Ability to work in a team as well as independently

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

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

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

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 develop and adapt a process

Ability to develop others & improve their skills

Ability to set up relevant performance indicators

Ability to develop and leverage networks

Education Level:

Bachelor Degree or equivalent

Experience Level

At least 3 years

Other/Specific Qualifications Capital Market Certifications

Primary Location: IN-TN-ChennaiJob Type: Standard / PermanentJob: COMPLIANCE AND PERMANENT CONTROLEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 2 yearsSchedule: Full-time Behavioural competency: Attention to detail / rigor, Proactivity, Ability to share / pass on knowledgeTransversal competency: Ability to understand, explain and support change, Ability to develop others & improve their skills, Ability to inspire others & generate people's commitment