Associate Level 1 / Senior Associate – Ecomm

August 29, 2023

Associate Level 1 / Senior Associate – Ecomm


  • Standard / Permanent
  • IN-TN-Chennai
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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 24×7 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 the Function :

Front office Conduct Surveillance (FOCS) is a level -1 control team within the front office, and is responsible for putting in place relevant controls (i.e., tools) to review, monitor and escalate (as required);  to ensure adherence to acceptable business practices market conduct as outlined, defined and document by the bank. The scope of the team encompasses setting up controls across both electronic communication and trade surveillance for the in scope teams/staff within the front office.


Job Title:

Associate Level 1 / Sr. Associate







Business Line / Function:


Reports to:




(if applicable)



Number of Direct Reports:

Directorship / Registration:


Position Purpose

ISPL FOCS has been established in July 2020 at ISPL in Mumbai, India and is part of Front Office support.

The scope of work includes offshoring administrative and Level I support to Capital Markets Surveillance


Direct Responsibilities

  • ·  Detect, review and report potentially suspicious activities.

    ·      Review Voice 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 FOCS 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

Contributing Responsibilities

  • Ensure escalation by 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 effectively with team members and relevant stakeholders
  • Be supportive and adaptive to changes of procedures and scope of work
  • Meet the QA requirements and the expected daily volume

Contributing towards additional team and individual responsibilities.

Technical & Behavioral Competencies

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

Specific Qualifications (if required)

  • 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.

Skills Referential

Behavioural Skills: (Please select up to 4 skills)

Active Listening

Critical thinking

Communication skills – oral & written

Ability to collaborate and team work

Transversal Skills: (Please select up to 5 skills)

Analytical Ability

Ability to understand, explain and support change

Ability to adapt and develop a process

Ability to manage a project.

Ability to develop others and improve their skills.

Education Level:

Bachelor Degree or equivalent

Experience Level

At least 5 years

Other/Specific Qualifications (if required)

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


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