Job Description

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 is focused to protect the reputation of the Group and effectively manage risk across all business areas. At present the compliance function is broadly organized into divisions which embed into the areas they support to provide services but not limited for Global Compliance training, Capital Markets Surveillance, Electronic Communications Surveillance, Personal Account Dealing, Compliance KYC hub, etc.Job Title: Senior Associate Date: NADepartment:ISPL Compliance HubLocation:MumbaiPosition PurposePersonal account dealing is part of the compliance unit of the investment bank. it is responsible for monitoring of all employee trading activities and also to prevent employees from trading on, or the appearance of trading on, material non-public information and to ensure accordance with the Firm\'s Personal Account Dealing(PAD) policiesResponsibilitiesDirect Responsibilities\xc2\xb7 Check employee personal trading requests in accordance with the Firm\'s Personal Account Dealing(PAD) policies\xc2\xb7 Respond to employee queries (via telephone and email) regarding personal account dealing\xc2\xb7 Update new joiner, leaver and change of personal accounts on the PAD database\xc2\xb7 Issue email request staff completing their declaration\xc2\xb7 Chase outstanding staff declaration\xc2\xb7 Collect staff\xe2\x80\x99s account and holding declaration\xc2\xb7 Issue account opening approval letter\xc2\xb7 Scan and file staff\xe2\x80\x99s declaration and approved account opening letter\xc2\xb7 Conduct reconciliation between the account movements and the dealing approval\xc2\xb7 Update results of the reconciliation\xc2\xb7 Chase outstanding statements from sensitive staff concerned\xc2\xb7 Flag exceptions on dealing approval\xc2\xb7 Scan and file the reconciled account statementsContributing Responsibilities\xc2\xb7 Prepare MIS reports for management on a regular basis\xc2\xb7 Prepare report of PAD monitoring\xc2\xb7 Support creation of Internal and Ad-hoc reports in a timely manner\xc2\xb7 Support audit, compliance testing and regulatory requests for information\xc2\xb7 Monitor local personal account dealing processes to identify areas for improvement\xc2\xb7 Assist with the implementation of new/revised processes and systems\xc2\xb7 Handle special projects and/or other duties as assigned by ManagementTechnical & Behavioral Competencies\xc2\xb7 Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff\xc2\xb7 Good knowledge of financial products, the securities industry, and awareness of financial regulatory environment\xc2\xb7 Able to work both independently and as part of a team\xc2\xb7 Willingness to sometimes work outside normal business hours or on public holidays to meet reporting obligations\xc2\xb7 Ability to comprehend issues and breaches in a timely manner and raise it to the relevant stakeholders without any delay\xc2\xb7 General understanding of the associated risks\xc2\xb7 Strong ability to meet deadlinesSpecific Qualifications (if required)\xc2\xb7 Professional level knowledge of securities and banking regulation.\xc2\xb7 Fluent reading proficiency in English.\xc2\xb7 Minimum 3 years of relevant compliance and or financial product experience\xc2\xb7 Comfortable user of Microsoft Office (i.e. Outlook, MS Excel; Word, Visio, powerpoint)Skills ReferentialBehavioural Skills:Ability to collaborate / TeamworkDecision MakingOrganizational skillsAbility to deliver / Results drivenTransversal Skills:Analytical AbilityAbility to develop and adapt a processAbility to develop others & improve their skillsAbility to understand, explain and support changeAbility to manage a projectEducation Level:Bachelor Degree or equivalentQualifications

BNP Paribas