Associate Level 1/sr. Associate

2 months ago

Mumbai, India BNP Paribas Full time

**Job Description - TRM Control Testing**

About BNP Paribas Group:
BNP Paribas is a top-ranking bank in Europe with an international profile. It operates in 71 countries and has almost 199 000 employees. The Group ranks highly in its three core areas of activity: Domestic Markets and International Financial Services (whose retail banking networks and financial services are grouped together under Retail Banking & Services) and Corporate & Institutional Banking, centred on corporate and institutional clients. The Group helps all of its clients (retail, associations, businesses, SMEs, large corporates and institutional) to implement their projects by providing them with services in financing, investment, savings and protection. In its Corporate & Institutional Banking and International Financial Services activities, BNP Paribas enjoys leading positions in Europe, a strong presence in the Americas and has a solid and fast-growing network in the Asia/Pacific region.

About BNP Paribas India Solutions:
Established in 2005, BNP Paribas India Solutions is a wholly owned subsidiary of BNP Paribas SA, a leading bank in Europe with an international reach. With delivery centers located in Bengaluru, Chennai and Mumbai, we are a 24x7 global delivery center. India Solutions services three business lines: Corporate and Institutional Banking, Investment Solutions and Retail Banking for BNP Paribas across the Group. Driving innovation and growth, we are harnessing the potential of over 6000 employees, to provide support and develop best-in-class solutions

About Business line/Function:
ISPL Compliance Hub as a department was established in November 2013 at ISPL in Mumbai, India with the hire of a department head. The ISPL team provides support on compliance administrative level tasks to BNPP compliance teams globally.

The scope of work includes offshoring administrative and Level I support to functions such as:
Training Support

Capital Markets Surveillance

Employee Personal Account Dealing

Electronic Communications Surveillance

Offshoring/Outsourcing Coordination

Projects & System Support

KYC

AML Post transaction monitoring Support

Job Title:
Associate Level 1 / Senior Associate

Date:
2023

Department:
ISPL Compliance Hub

**Location**:
Mumbai

Business Line / Function:
Functions

Reports to:
(Direct)

Manager
Grade:
(if applicable)

NA

(Functional)

Number of Direct Reports:
NA

Directorship / Registration:
NA

**POSITION PURPOSE**:
Part of ISPL Compliance hub, the resource performs periodical testing checks on both the Compliance APAC function and APAC Business lines to ensure the efficacy of BNP Paribas APAC Compliance control framework.

**Responsibilities**

**DIRECT RESPONSIBILITIES**:
Perform AML/Sanctions compliance control testing, based on 2nd level Group Compliance Control Plans, on the following domains:
Financial Sanctions

Anti Money Laundering / CFT

Market Integrity

Protection of Client Interests

Professional Ethics

KYC

Fiscal laws and Banking Regulations

Escalate issues and exceptions items noted during the controls

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

Communicate with Local and regional Compliance teams as required for the execution of the controls and the presentation of the results

Track status of corrective action plans agreed with the Country Compliance

Maintain detailed and organised documentation of work products

Coordinate with other professionals in the organisation, including other Compliance teams, as necessary

Assist in special projects as needed, including but not limited to, project planning and project management. Support management with regulatory and Inspection Generale as needed.

**CONTRIBUTING RESPONSIBILITIES**:
Comply with procedure and other relevant policies/ procedures of BNP Paribas group and regulations, and industry best practice

Collaborate and work in tandem with team members and relevant stakeholders

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

Meet the QA requirements and the expected daily alert closure volume

**TECHNICAL & BEHAVIORAL COMPETENCIES**:
Preferably, at least 7 years of working experience with 4 years of AML/Sanctions Compliance experience.

Formal training or qualification in AML/Sanctions would be beneficial.

Sound understanding of AML/Sanctions principals and be well versed in Asia Pacific, EU landscapes.

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.

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 countri

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