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BNP Paribas
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Associate Level 1 / Senior Associate - FOCS Trade & Comms

Associate Level 1 / Senior Associate - FOCS Trade & Comms

BNP Paribas

3 - 8 years

1 - 5 Lacs

Mumbai

Posted:2 weeks ago| Platform:

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Skills Required

trading insurance global delivery project management due diligence bloomberg program management dlp investment avaya cms capital market financial services research excel trade compliance mis language skills avaya ca reporting communication skills

Work Mode

Work from Office

Job Type

Full Time

Job Description

ISPL FOCS has been established in July 2020 at ISPL in Mumbai, India and is part of Front Office support.

The scope of work includes offshoring administrative and Level I support to Capital Markets Surveillance

Responsibilities

Direct Responsibilities

Review analyse and investigate market abuse trading activity generated by an automated monitoring system AT LEVEL 1 in accordance with relevant review process as defined in the operating guidelines.
Obtain and upload 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
As necessary, use available research tools (e.g. Bloomberg, Reuters) to identify publicly available information concerning transactions to be identified for further investigation
Escalate suspicious trading activity deserving of further investigation to On shore
MIS and reporting of daily activities on timely manner.

Contributing Responsibilities

Ensure escalation by Investigator is proper, in a timely manner and supported by relevant information and due diligence search results
Comply with procedure and other relevant policies/ procedures of BNP Paribas group and regulations, and industry best practice
Collaborate and work effectively with team members and relevant stakeholders
Be supportive and adaptive to changes of procedures and scope of work
Meet the QA requirements and the expected daily volume

Contributing towards additional team and individual responsibilities.

Technical & Behavioral Competencies

Demonstrate personal initiatives, ownership and accountability
Strong Focus on Meeting Deadlines
Additional European language skills preferred
System Skills on Symantec/CA DLP/Autonomy/Global Relay / NICE / FUSION to conduct Electronic Communication Surveillance. Any One of the above systems is an added advantage

Specific Qualifications (if required)

Professional level knowledge of securities and banking regulation.
Fluent reading proficiency in English.
Knowledge of trading and business terminology.
3+ years' surveillance/compliance experience within a financial services/securities environment.
knowledge of MS office specifically Excel.

Skills Referential

Behavioural Skills : (Please select up to 4 skills)

Active Listening

Critical thinking

Communication skills - oral & written

Ability to collaborate and team work

Transversal Skills:

Analytical Ability

Ability to understand, explain and support change

Ability to adapt and develop a process

Ability to manage a project.

Ability to develop others and improve their skills.

Education Level:

Bachelor Degree or equivalent

Experience Level

At least 5 years

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