Associate Level 1 / Senior Associate - Capital Markets Investigator- Ecom Surviellance
BNP Paribas
- Mumbai, Maharashtra
- Permanent
- Full-time
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 SupportJob Title:Capital Markets Investigator - Ecom SurveillanceDate:2024Department:ISPL Compliance HUBLocation:MumbaiBusiness Line / Function:ISPL Compliance HUBReports to:(Direct)LeadGrade:(if applicable)NA(Functional)Number of Direct Reports:NADirectorship / Registration:NAPosition PurposeThe 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.ResponsibilitiesDirect Responsibilities· Detect, review and report potentially suspicious activities.· Review email and other electronic communications of bank employees for adherence to firm and regulatory rules and requirements.· Use any available research tools to identify publicly available information concerning transactions and communications identified for further investigation.· Conducting both routine and special inquiries as required or requested.· Performing routine administrative duties and reviews· Working with local Compliance managers to resolve instances of apparent breaches from firm and regulatory rules· Proactive and timely escalation of issues (including those from investigations) with adequate supporting information to the Monitoring ManagerContributing Responsibilities· 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· 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· Contribute to the implementation Regulatory, Group and CIB standards against market abuse and breaches of Conduct of Business rules etc.· 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 relationship with local Regulators and Exchanges as required· 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.· 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 competencyTechnical & Behavioral Competencies· At least 2 years’ experience in banking /financial industry· A good understanding of capital markets· Familiar with Market Manipulation types· Good communication skills and eager to learn· Analytical and with an investigative eye for accurate details and red-flag situations· Ability to work in a team as well as independently· Ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short timeframes· Must evidence an attention to detail and have an investigative and questioning nature· 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 environmentSpecific Qualifications (if required)o Capital Markets Certificationso Bachelor’s degree or higher, in some type of investment banking disciplineSkills ReferentialBehavioural Skills:Ability to collaborate / TeamworkCommunication skills - oral & writtenCritical thinkingAdaptabilityTransversal Skills:Analytical AbilityAbility to manage a projectAbility to develop and adapt a processAbility to understand, explain and support changeChoose an item.Education Level:Bachelor Degree or equivalentExperience LevelAt least 3 yearsOther/Specific Qualifications (if required)Capital Market Certifications