Vista previa generada por IA
Associate role monitoring employee trading and compliance.
Mid-level position in Mumbai, India with focus on Personal Account Dealing.
Job Title
Associate - Compliance Professional Ethics
Location
Mumbai, Maharashtra, India
Department
India CoE Compliance Hub – Professional Ethics
About Business line/Function
CIB
India COE Compliance Hub
India COE 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 providing 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.
Position Purpose
Associate for Personal Account Dealing within CIB compliance monitors employee trading activities, ensures proper reporting, investigates breaches, and flags exceptions. The role requires strong communication, proficiency in Microsoft Office, knowledge of financial products and regulations, the ability to work independently or in a team, and flexibility to meet deadlines and reporting obligations outside standard hours.
Direct Responsibilities
- · Review and validate employee personal trading requests in accordance with the firm's personal account dealing (PAD) policy
- · Conduct reconciliation between the account movements and the dealing approval
- · Update results of the reconciliation
- · Follow-up with outstanding statements from sensitive staff concerned
- · Flag exceptions on dealing approval
- · Reviewing G&I requests and validating as per firm’s GIFTS & Invitations (G&I) policy
- · Review of mass / large events invitations
- · Follow-up with staff for taking the action on pending G&I requests
- · Manage the licensing process for relevant personnel to ensure compliance with local regulations.
- · Follow-up with staff, stake holders for various documents and appropriate approvals
- · Data management: Maintain accurate records for audit
- · Assign/ Propose classification to new joiners/ movers as per staff’s job role
- · Follow-up with outstanding staff for acknowledgement
- · Prepare reports as per requirement (E.g. management, audit, business, etc)
- · Investigation and Breach Management: Support discrepancy investigation and issuance of breach
- · Monitor mailbox and answer respond to staff queries
- · Monitor local process/ policy to identify areas for improvement
- · Assist AM’s in providing data related to KPI, MIS or dashboards>
Contributing Responsibilities
- · Working knowledge of financial markets, products and regulatory environment
- · Professional level knowledge of Professional ethics, compliance and capital markets
- · Fluent reading proficiency in English.
- · Minimum 3 years of relevant compliance and or financial product experience
- · Good user of Microsoft Office (i.e. Outlook, MS Excel; Word, Visio, PowerPoint)e>
Technical & Behaviour Competencies
- · Good knowledge of financial products, the securities industry, and awareness of financial regulatory environment
- · Strong analytical skills, attention to detail
- · Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all staff
- · Able to work independently and as part of a team
- · Ability to work under pressure
- · Willingness to sometimes work outside normal business hours or on public holidays to meet reporting obligations
- · Ability to comprehend issues and breaches in a timely manner and raise it to the relevant stakeholders without any delay
- · General understanding of the associated risks
- Strong ability to meet deadlines>
Specific Qualifications
NA
Technical Skills
- Microsoft excel and word
- Capital Markets
- Compliance
- Transaction Reconciliation
Behavioral Skills
- Eye for detail
- Self-motivated
- Team player
- Analytical thinking
- Time management & Prioritization
Education Level
Minimum graduate (B.com, BMS, BBI)
Location
Mumbai (Maharashtra)
About BNP Paribas Group
BNP Paribas is the European Union’s leading bank and key player in international banking. It operates in 65 countries and has nearly 185,000 employees, including more than 145,000 in Europe. The Group has key positions in its three main fields of activity: Commercial, Personal Banking & Services for the Group’s commercial & personal banking and several specialized businesses including BNP Paribas Personal Finance and Arval; Investment & Protection Services for savings, investment, and protection solutions; and Corporate & Institutional Banking, focused on corporate and institutional clients. Based on its strong diversified and integrated model, the Group helps all its clients (individuals, community associations, entrepreneurs, SMEs, corporates and institutional clients) to realize their projects through solutions spanning financing, investment, savings and protection insurance. In Europe, BNP Paribas has four domestic markets: Belgium, France, Italy, and Luxembourg. The Group is rolling out its integrated commercial & personal banking model across several Mediterranean countries, Turkey, and Eastern Europe. As a key player in international banking, the Group has leading platforms and business lines in Europe, a strong presence in the Americas as well as a solid and fast-growing business in Asia-Pacific. BNP Paribas has implemented a Corporate Social Responsibility approach in all its activities, enabling it to contribute to the construction of a sustainable future, while ensuring the Group's performance and stability.
About BNP Paribas India Solutions
Established in 2005, BNP Paribas India Solutions is a wholly owned subsidiary of BNP Paribas SA, European Union’s leading bank 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 10000 employees, to provide support and develop best‑in‑class solutions.
Commitment to Diversity and Inclusion
At BNP Paribas, we passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued, respected and can bring their authentic selves to work. We prohibit Discrimination and Harassment of any kind and our policies promote equal employment opportunity for all employees and applicants, irrespective of, but not limited to their gender, gender identity, sex, sexual orientation, ethnicity, race, colour, national origin, age, religion, social status, mental or physical disabilities, veteran status etc. As a global Bank, we truly believe that inclusion and diversity of our teams is key to our success in serving our clients and the communities we operate in. As a global Bank, we truly believe that inclusion and diversity of our teams is key to our success in serving our clients and the communities we operate in.