Associate - Capital Markets Investigator- EComm Surveillance

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.

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 specialised 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

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.

About Business Line / 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 (Trade & Electronic Communication Surveillance)

Date

25 / 06 / 2024

Department

ISPL Compliance Hub

Location : Mumbai

Business Line / Function

Compliance (CMS)

Reports To

(Direct)

Reuben Dsouza

Grade

(if applicable)

(Functional)

Prachi Jadhav

Number Of Direct Reports

Directorship / Registration :

NA

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.

The risk type currently covers both Trade Surveillance (e.g. insider trading, manipulation, Historical Behavioural Pattern, Watchlist etc…) & Electronic Communication Surveillance (e.g. use of unauthorized communication channel, data leakage, inappropriate sharing of MNPI / confidential information etc…) responsible for managing day to day compliance responsibilities and work closely with the local, regional and global team on compliance related matters pertaining to the Bank as well as local regulatory requirements

Responsibilities

Trade Surveillance

Direct Responsibilities

Contributing Responsibilities

ECOMM Surveillance

Direct Responsibilities

Contributing Responsibilities

Technical & Behavioral Competencies

Specific Qualifications (if Required)

Skills Referential

Behavioural Skills : (Please select up to 4 skills)

Ability to collaborate / Teamwork

Communication skills - oral & written

Critical thinking

Adaptability

Transversal Skills : (Please select up to 5 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 (if Required)

Capital Market Certifications

Skills Required

Capital Markets Certifications, Electronic Communications Surveillance, Understanding of capital markets, Market Abuse Manipulation types