Associate Level 1 / Sr Associate - Captial Market Investigator

Job Description

Recruiting Requisition FormJob (Functional) Title:E-Communication Surveillance InvestigatorLocation (City, State): MumbaiDepartment Name: E-Communication SurveillanceDepartment Manager :Prachi JadhavHiring Manager:Reuben DsouzaReporting Line:Locally: Reuben DsouzaFunctionally: TBDWorking time for CIB :100%Reason For OpeningNew Budgeted Position X New Non-BudgetedInternal TransferReplacement __________________________Position # for New Budgeted or Replacement: Full Time EmployeePart Time EmployeeBusiness case/ justification :Electronic communications surveillance is part of the Compliance function of BNP PARIBAS CIB. It is responsible for monitoring and reviewing the electronic communications of authorised and registered employees who conduct trading and sales activity on behalf of the bank, such as brokers, traders and sales staff. Furthermore, the compliance surveillance requirements are expanding at a fast pace. This expansion is being driven by new regulations and recommendations issued by internal and external audit and regulatory visits. Furthermore, there is clear requirement to expand the surveillance coverage to include several more behavioural policies requiring additional staff to review and investigate each occurrence to determine whether escalation to the relevant local Compliance team is required.Responsibilities of the candidate:Principle business responsibilities :

• Detect, review and report potentially suspicious activities.
• Review email and other electronic communications of bank employees for adherence to firm and regulatory rules and requirements.
• Use any available research tools to identify publicly available information concerning transactions and communications identified for further investigation.
• Conducting both routine and special inquiries as required or requested.
• Performing routine administrative duties and reviews
• Working with local Compliance managers to resolve instances of apparent breaches from firm and regulatory rules
• Proactive and timely escalation of issues (including those from investigations) with adequate supporting information to the Monitoring Manager

Core activities covered :Communications monitoring using the following tools and systems: Global Relay, Outlook e-mail, Compliance Accelerator, RedOwl and any other electronic communications flows that may require surveillance or review. Others activities :

• Provide day-to-day assistance and support to the local Surveillance teams
• Assisting in regulatory and internal investigations as assigned by the Compliance Management Team
• Ensure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary

• Assist in preparing management information and reporting regarding surveillance and monitoring activities
• Contribute to the implementation Regulatory, Group and CIB standards against market abuse and breaches of Conduct of Business rules etc.
• Assist in the enhancement of existing processes and develop new processes for identifying instances of Market Abuse and breaches to Conduct of Business and Exchange rules etc.

• Ensure the use of workflow investigation tools
• Contribute to the relationship with local Regulators and Exchanges as required
• Contribute to the set-up, implementation and operation of risk prevention tools

• Contribute to the implementation of Regulatory, Group and CIB standards against money laundering, fraud, corruption, terrorism, etc.

• Contribute to regional or global projects with a view to ensuring that they are delivered effectively and efficiently
• Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to Compliance policies and procedures as issued from time to time; Financial Crime Prevention requirements, including, but not limited to, the prevention of Financial Crime and Fraud including reporting obligations to the Money Laundering Reporting Officer.
• Maintain appropriate knowledge to ensure to be fully qualified to undertake the role.
• Complete all mandatory training as required to attain and maintain competency

Profile of the candidateEducation :

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

Pre-requisites :

• 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.

Technical skills & Experience:

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

, *Knowledge on capital markets

Keyskills :
ms officecrime preventiontradinginternal complianceriskemailcompliance managementlanguage skillsaccountancybusiness rulesfinancesecuritiessalesexternal auditfraudinternal investigations