Senior Associate - Trade Surveillance

About the Function :

Front office Conduct Surveillance (FOCS) is a level -1 control team within the front office, and is responsible for putting in place relevant controls (i.e., tools) to review, monitor and escalate (as required); to ensure adherence to acceptable business practices market conduct as outlined, defined and document by the bank. The scope of the team encompasses setting up controls across both electronic communication and trade surveillance for the in scope teams/staff within the front office.

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

• 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.

• 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.

• 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

• 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:

Active Listening

Critical thinking

Communication skills - oral & written

Ability to collaborate and team work

Transversal Skills:

Analytical Ability

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

Other/Specific Qualifications