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FOCS Voice and Ecomm surveillance Associate

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Last update 26.06.2024

In a changing world, unprecedented challenges require unmatched talent. Join one of Montreal's Top Employers in 2024. We are a dynamic and growing organization having its main establishment located in downtown Montreal and part of a leading international banking institution fully committed to building a more sustainable future. Note that the position may be in the Canadian Branch of BNP Paribas or in one of its subsidiaries based in Montreal.

The position at a glance

In response to regulatory requirements, BNP Paribas has established a First Line of Defense Surveillance function within Global Markets (GM) business reporting into Chief Conduct and Controls Office (CCCO). GM CCCO is part of Global Markets FO, but independent from the Business and is also part of the 1st Line of Defense. The FOCS (Front Office Control & Surveillance) team monitors

  • Trading & Sales business activity and Electronic and Voice Communications, with the objective of deterring, detecting, and preventing Conduct Risk breaches
  • Developing automated tools for monitoring and performing customized data analytics
  • Escalating potential issues and resolving satisfactorily
  • Developing systems capabilities and customizing new systems to meet firm expectations

The team is quite unique in the industry and has proved efficient in identifying potential conduct risk to BNPP managers. The team can easily follow market events and work with FO management by being located close to the trading floor.

In detail

  • Review Voice and E-communications of bank employees for adherence to firm and regulatory rules and requirements.
  • Detect, review and report potentially suspicious activities.
  • Conducting both routine and special inquiries as required or requested.
  • Working with FOCS (Front Office Conduct and Surveillance) managers to resolve instances of apparent breaches of firm and regulatory rules
  • Proactive and timely escalation of issues to the Monitoring Manager
  • Provide day-to-day assistance and support to the regional Surveillance teams 
  • 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
  • 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 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.
  • 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.

The strengths and skills that will help you succeed

  • Bachelor’s degree
  • 7 years Surveillance / Compliance/ Risk Management experience within a financial services/securities environment helpful
  • Given the vast majority of our clients, both internal and external, are based outside of Quebec and Canada, specific language requirements may apply. Knowledge of French and English is required
  • Excellent interpersonal and communication skills with management and transversal functions
  • Adaptability
  • Be a role model, supporting and fostering a culture of good Conduct
  • Demonstrate proactivity, transparency, and accountability for identifying and managing conduct risks
  • Consider the implications of your actions on colleagues, partners and clients before making decisions, and escalate issues to your manager when unsure
  • Knowledge of the capital markets
  • Knowledge of trading and business terminology is a significant advantage
  • Strong organizational skills – ability to multitask and prioritize based on potential impact
  • Capacity to analyze issues, synthesize findings and communicate them in an effective manner
  • Proven ability to work autonomously
  • Advanced knowledge of Excel
  • Ability to organize data sets
  • Generally comfortable and adept at learning and using technology tools
  • PowerPoint/presentation skills
  • Proficiency in Spanish and Portuguese a plus
  • Project management experience a plus

What’s in it for you

In addition to competitive compensation, we offer flexible benefits including a family and spouse insurance program, a defined contribution pension plan and paid days for volunteering. Hybrid work arrangements, such as remote working up to 50% and flexible working hours are available for most positions. BNP Paribas provides excellent training and personal development programs, as well as opportunities for career development within the company and internationally.

To find out more about our range of benefits, click here

What you need to know

  • We will review candidates as they apply, so don’t wait to submit your application;
  • BNP Paribas is committed to accessibility and inclusion. If you need any accommodation during the recruitment process, you can contact accessibility [at] us.bnpparibas (dot) com
  • You must be legally eligible to work in the Greater Montreal area and, if applicable, hold a valid work or study permit. Physical presence in BNP Paribas’ office(s) is an essential function of this position;

Diversity, Equity and Inclusion (DE&I) at the heart of our commitments

At BNP Paribas all employees are on an equal footing allowing us to create a work environment that values and respects people for their talents, skills and competences.

BNP Paribas recruits, employs, trains, compensates and promotes regardless of race, religion, colour, national origin, sex, disability, age, and other protected status (Employment Equity Act and Canadian Human Right Act).

To learn more about our DE&I commitments, click here

About us

BNP Paribas is the top bank in the European Union and a major international banking establishment. Present in 63 countries, with more than 180,000 employees, the bank holds key positions in several areas of banking and financial services.

BNP Paribas’ mission is to contribute to a responsible and sustainable economy by financing and advising its clients according to the highest ethical standards, while striving to respond to essential concerns in terms of the environment, regional development and social inclusion.

Since 1961, BNP Paribas has supported large Canadian companies and institutions in their business development by offering a full range of specialized financial services and investment products.

With over 1,400 employees, BNP Paribas in Canada continues to attract experts from diverse fields as well as ambitious young talent from around the world. We are proud to offer our employees a rewarding and international workplace where they can build their professional careers by honing their skills, meeting challenges and enriching their knowledge of the financial industry.

Our certifications and partnerships

  • Montreal’s Top Employers 2024
  • Canada’s Best Diversity Employers 2024
  • Women in Governance  – Parity certified -  Platinum certification
  • Pride at Work Canada
  • Rainbow Accreditation issued by Canada’s LGBT+ Chamber of Commerce (CGLCC)
  • Part of Les Affaires top 300 companies in Quebec
  • Synclusiv
  • Ready, Willing and Able
  • Autisme sans Limites
  • LinkedIn Top Companies 2024

Do you want to discover other BNP Paribas offers in Canada?

Click here: BNP Paribas in Canada Our job offers

** Only selected applications that meet the requirements of the role will be contacted **

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Why should I apply?

Basically, why would you want to join BNP Paribas over any other company?

BECAUSE YOU'RE THE KIND OF PERSON WHO WANTS...

  • What if we told you that working in our Group isn’t quite what you might think? At BNP Paribas, we do a multitude of different jobs that are constantly evolving to meet the expectations of our clients and society as a whole. Whether through everyday tasks or major projects, doing one of our jobs means making a personal commitment to taking sustainable action.

  • Feeling good about your job means bringing your whole self to work and being who you are. It’s also about having the resources you need to achieve a healthy work-life balance. Both of these are major commitments at BNP Paribas.

  • At BNP Paribas, developing your skills is as important to us as it is to you. And the skills you learn with us will help you through the rest of your working life.

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