The bank for a changing world

Captial Market Investigator - UK - Associate

Contract

Standard / Permanent

Location

IN-MH-Mumbai

Job function

COMPLIANCE AND PERMANENT CONTROL

Reference

BNP014630

Business Justification:

The number of surveillance models that are beingdeployed for UK Compliance is expanding at a very fast pace. This expansionis being driven by new regulations and by recommendations from 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 activityreport.

 
Principle Business Responsibilities :
 
 
  • Detect, review and report on possible suspicious activities.
  • Review alerts generated by an automated monitoring system to identify transactions deserving of further investigation.
  • As necessary use available research tools to identify publicly available information concerning transactions identified for further investigation.
  • As necessary, contact branch and counterparties to determine fact and circumstances surrounding identified transactions.
  • Draft Suspicious Activity Reports, (SAR’s) for approval and filing
 
Other Core Activities:
 
  • Provide day-to-day assistance and support to the local Surveillance teams 
  • Assisting in regulatory and internal investigations as assigned by the Compliance Management Team
  • Assist in preparing management information and reporting regarding surveillance and monitoring activities
  • Contribute to regional or global projects with a view to ensuring that they are delivered effectively and efficiently
  • 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; Financial Crime Prevention requirements, including, but not limited to, the prevention of Financial Crime and Fraud including reporting obligations to the Money Laundering reporting Officer
  • Maintain appropriate knowledge to ensure to be fully qualified to undertake the role.
  • Complete all mandatory training as required to attain and maintain competency





 

 
Core Activities Covered :
 
 
Capital markets transactions: Equity, Fixed Income, derivitives, F/X, Commodities.
 


 

 
Education :
 
 Bachelor’s degree or higher, in some type of investment banking discipline
 
 
 
Pre-Requisites :
 
 
  • Professional level knowledge of securities and banking regulation.
  • Excellent written and oral communication skills.
  • Familiarity with capital markets products, practices and operations.
  • Sense of precision and attention to detail in maintaining documentation and audit trails.
 
 
Technical skills & Experience:
 
 
  • Proficient in MS Office Applications
  • Demonstrate personal initiatives, ownership and accountability
  • Strong Focus on Meeting Deadlines