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BNP Paribas
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Manager - Global Markets Front Office Regulatory Permanent Control

Manager - Global Markets Front Office Regulatory Permanent Control

BNP Paribas

6 - 11 years

20 - 25 Lacs

Chennai

Posted:2 months ago| Platform:

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Skills Required

front desk python data analysis front office management production data mining administration front office operations receptionist activities presentation skills investment excel operations front office writing powerpoint communication skills

Work Mode

Work from Office

Job Type

Full Time

Job Description

The primary responsibility of the GM Regulatory Permanent Control Officer (GM RPC) is to establish, deploy and run the Governance Control Frameworks specifically for Sanctions Embargoes called by any regulation impacting Global Markets Front or required by the Banks supervisors.

Responsibilities

Direct Responsibilities

PROTECTION

Help reduce strengthen front to back regulatory control framework by investigating on regulatory incidents, writing incident reports, designing remediations and following-up on actions

GOVERNANCE

Preparation of regulatory governance committees including production of KPIs and drafting of governance documentation. Initial focus will be short selling, onboarding of new trading venues and best execution

RISK ASSESSMENT CONTROLS

Assess and document EMEA regulatory landscape for capital markets activities
Assess and challenge the effectiveness of GM control set up against regulatory risks, propose and implement improvements
Materialize and maintain the GM control plan from a front to back perspective and perform mapping with Functions Global Control Plan
Perform data analysis to assess quality of data feeding regulatory controls
Execute regulatory controls and report results in governance documentation
Investigate on regulatory breaches identified in controls and follow-up with relevant stakeholders to close findings

Technical Behavioral Competencies

Key required skills

REGULATORY BACKGROUND

Is genuinely interested in financial markets regulatory environment. Is able to analyze and document the bank regulatory landscape within the capital markets scope

CONTROLS PROFICIENCY

Can assess control performance in terms of design and implementation quality
Can execute regulatory controls, identify and document breaches, and remediate underlying issues. Can follow-up on control findings remediation and demonstrate assertiveness with relevant stakeholders
Has good data mining and data analysis skills (Excel at least, Python a plus)

WRITTEN PRESENTATION SKILLS

Can prepare quality presentations for internal regulatory governance forums (ppt)

ANALYTICAL SKILLS

Can investigate on a complex operational capital markets breaches and incidents, liaise with SMEs, and document findings in a well structured report (good writing skills required)
Strong attention to detail required (Focuses on the prevention of mistakes regarding information utilised or delivered).

ADMIN SKILLS

Must be able to perform simple database administration tasks (update status of various action items resulting from governance forums)

Specific Qualifications (if required)

Working experience:

6+ years of experience in a top tier financial institution in a controls team and/or within the regulatory space (controls officer, regulatory project manager, regulatory governance officer)
Experience with Capital markets
Demonstrated ability to analyze and solve problems independently and to build quality relationship with stakeholders
Experience with drafting and presenting PowerPoint presentation on a regular basis

Skills Referential

Behavioural Skills : (Please select up to 4 skills)

Ability to deliver / Results driven

Attention to detail / rigor

Communication skills - oral written

Transversal Skills:

Ability to develop and leverage networks

Ability to manage / facilitate a meeting, seminar, committee, training

Analytical Ability

Education Level:

Master Degree or equivalent

Experience Level

At least 5 years

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