Associate Level 1 / Senior Associate - FOCS Trade & Comms

Position Purpose

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 analysisAs necessary, use available research tools (e.g. Bloomberg, Reuters) to identify publicly available information concerning transactions to be identified for further investigationEscalatesuspicious trading activity deserving of further investigation to On shoreMIS 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 resultsComply with procedure and other relevant policies/ procedures of BNP Paribas group and regulations, and industry best practiceCollaborate and work effectively with team members and relevant stakeholdersBe supportive and adaptive to changes of procedures and scope of workMeet the QA requirements and the expected daily volume

Contributing towards additional team and individual responsibilities.

Technical & Behavioral Competencies

• Demonstrate personal initiatives, ownership and accountabilityStrong Focus on Meeting DeadlinesAdditional European language skills preferredSystem 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

BehaviouralSkills:(Please select up to 4 skills)

Active Listening

Critical thinking

Communication skills - oral & written

Ability to collaborate and team work

Transversal Skills:(Please select up to 5 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 5years

Other/Specific Qualifications(if required)

Bachelor's degree or higher, in banking, finance or related discipline