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BNP Paribas
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Senior Associate/ Assistant Manager - Transversal Risk Management

Senior Associate/ Assistant Manager - Transversal Risk Management

BNP Paribas

7 - 12 years

6 - 10 Lacs

Mumbai

Posted:3 weeks ago| Platform:

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Skills Required

aml risk management retail banking anti money laundering regulatory accounting capital market regulatory requirements excel kyc compliance control testing transaction monitoring surveillance tdm powerpoint communication skills global compliance

Work Mode

Work from Office

Job Type

Full Time

Job Description

ISPL Compliance Hub is focused to protect the reputation of the Group and effectively manage risk across all business areas by providing support to various Compliance functions. At present the department is broadly organized into divisions which embed into the areas they support to provide services for Global Compliance Training, Capital Markets Surveillance, Electronic Communication Surveillance, Transversal Risk Management (TRM), Compliance Migrations Co-Ordination, Personal Account Dealing, MIS and Projects support. The team works closely with business partners in CIB and the wider group.

Responsibilities

Direct Responsibilities

o Perform KYC/AML/Sanction compliance control testing based on Group Compliance control plans on the following domains:

Financial Sanctions

Anti Money Laundering / CFT

Market Integrity

Protection of Client Interests

Professional Ethics

Fiscal laws and Banking Regulations

o Work with 1LoD conducting periodic reviews of existing customers, to confirm the information on file, reconfirm customers ownership structure, conduct PEP/negative news and sanctions check to ensure KYC completeness, accuracy and quality/readiness.

o Work closely with Country Compliance to seek additional information or clarifications.

o Work closely with your Manager on regular updations of SOP FAQs in agreement with the onshore.

o Collaborate with Country/Regional Compliance covering KYC to help ensure consistency in interpretation and application of existing and new regulatory requirements.

o Able to remediate KYC compliance issues (e.g. overdue/non-compliant .

o Co-ordinate for timely closure of action plans recommended in response to adverse audit observations and regulatory examinations.

o Escalate issues and exceptions noted during control testing.

o Ensure close collaboration with domain Leads within TRM team who are responsible for the definition of the control methodology and accountable for the adequate execution of the controls.

o Communicate with local and regional compliance teams as required for the execution of controls and reporting of the results.

o Track status of corrective action plans agreed with Country Compliance.

o Assist in adhoc projects or activities as and as needed.

Contributing Responsibilities

o Comply with procedure and other relevant policies/ procedures of BNP Paribas group and regulations, and industry best practice.

o Collaborate and work in tandem with team members and relevant stakeholders

o Be supportive and adoptive to changes of procedures and scope of work

Technical Behavioral Competencies

o Extensive KYC/ AML/Sanction experience and should be a subject matter expert (SME)

o Sound understanding of KYC/ AML/Sanction guidelines for APAC/ EU jurisdictions.

o Preferably, at least 7 years of KYC/AML/Sanction Compliance experience. Prior work exposure in Audit team will be an added advantage.

o Formal training or qualification in AML/Sanction/KYC would be beneficial.

o Able to move to and from different clients (and therefore different requirement scenarios), reports and projects throughout the day, which requires a high degree of flexibility and strong prioritization skills.

o 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 environment, and preferably with some experience of dealing in multiple countries in Asia Pacific.

o Ability to work independently as well as within a team

o Good communication skills

o An ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short timeframes.

o Proficient in Microsoft Excel and Powerpoint.

Specific Qualifications (if required)

o Bachelor's degree or higher from an accredited institution

o Audit experience or qualifications in finance or accounting.

o Knowledge on Compliance domains like Market Integrity, Financial Security, Professional Ethics etc

o ICA or ACAMS equivalent Certifications is preferred.

Skills Referential

Behavioural Skills :

Ability to collaborate / Teamwork

Attention to detail / rigor

Decision Making

Communication skills - oral written

Transversal 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 7 years

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Senior Associate/ Assistant Manager - Transversal Risk Management