Associate Level 1

ASSOCIATE LEVEL 1 - CAPITAL MARKET INVESTIGATOR (JOB NUMBER: BNP022579)

**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 Businessline/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 Support
- AML Post transaction monitoring Support

**Job Title**:
Associate Level 1

**Date**:
**Department**:
ISPL Compliance Hub

**Location**:
Mumbai

**Business Line / Function**:
Functions

**Reports to**:

- (Direct)_

**Grade**:
(if applicable)
- (Functional)_

**Number of Direct Reports**:
**Directorship / Registration**:
NA

**Position Purpose**

The number of surveillance models that are being deployed for compliance is expanding at a very fast pace. This expansion is being driven by new regulations and by an increase in the recommendations that are the output of internal and external audits and regulatory visits. This expansion will also increase the alert population and surveillance coverage and will require additional staff to investigate each occurrence to determine whether there is sufficient reason to generate a suspicious activity report.

**Responsibilities**

**Direct Responsibilities**
- Review, analyse and close alerts generated by an automated monitoring system AT LEVEL 1 in accordance with relevant review process as defined in the operating guidelines
- As necessary, use available research tools to identify publicly available information concerning transactions to be identified for further investigation
- Escalate alerts to team manager and discuss basis for transactions deserving of further investigation to Level 2.

**Contributing Responsibilities**
- Obtain and upload alert 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
- Ensure escalation of alerts to Level 2 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 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**
- At least 2 years’ experience in banking /financial industry
- A good understanding of capital markets
- Familiar with Market Abuse types
- Good communication skills and eager to learn
- Analytical and with an investigative eye for accurate details and red-flag situations
- Ability to work in a team as well as independently
- Ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short timeframes
- 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

**Specific Qualifications **