Associate Level 1 / Senior Associate – Personal Account Dealing Support

October 23, 2023

Associate Level 1 / Senior Associate – Personal Account Dealing Support


  • Standard / Permanent
  • IN-MH-Mumbai
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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 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 Businessline/Function :

ISPL 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 to provide services for Global Compliance Training, Capital Markets Surveillance, Electronic Communication Surveillance, Compliance Migrations Co-Ordination, Personal Account Dealing, MIS and Projects support. The team works closely with business partners in CIB and the wider group.

Job Title:

Associate Level 1 / Senior Associate – Personal Account Dealing




ISPL Compliance Hub



Business Line / Function:

ISPL Compliance Hub

Reports to:




(if applicable)




Number of Direct Reports:


Directorship / Registration:


Position Purpose

Personal account dealing is part of the compliance unit of CIB. it is responsible for monitoring of all employee trading activities and in addition to also 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) policies.


Direct Responsibilities

·            Check employee personal trading requests in accordance with the firm’s personal account dealing(pad) policies

·            Respond to employee queries (via telephone and email) regarding personal account dealing

·            Update new joiner, leaver and change of personal accounts on the pad database

·            Issue email request staff completing their declaration

·            Chase outstanding staff declaration

·            Collect staff’s account and holding declaration

·            Issue account opening approval letter

·            Scan and file staff’s declaration and approved account opening letter

·            Conduct reconciliation between the account movements and the dealing approval

·            Update results of the reconciliation

·            Chase outstanding statements from sensitive staff concerned

·            Flag exceptions on dealing approval

·            Scan and file the reconciled account statements

·            Prepare report of pad monitoring

·            Prepare mis reports for management on a regular basis

·            Support creation of internal and ad-hoc reports in a timely manner

·            Support audit, compliance testing and regulatory requests for information

·            Monitor local personal account dealing processes to identify areas for improvement

·            Assist with the implementation of new/revised processes and systems

·            Handle special projects and/or other duties as assigned by management

Contributing Responsibilities

·            Professional level knowledge of securities and banking regulation.

·            Fluent reading proficiency in English.

·            Minimum 3 years of relevant compliance and or financial product experience

·            Comfortable user of Microsoft Office (i.e. Outlook, MS Excel; Word, Visio, PowerPoint)

Technical & Behavioral Competencies

·            Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff

·            Good knowledge of financial products, the securities industry, and awareness of financial regulatory environment

·            Able to work both independently and as part of a team

·            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 (if required)

·            Professional level knowledge of securities and banking regulation.

·            Fluent reading proficiency in English.

·            Minimum 3 years of relevant compliance and or financial product experience

·            Comfortable user of Microsoft Office (i.e. Outlook, MS Excel; Word, Visio, powerpoint)

Skills Referential

Behavioural Skills:

Ability to collaborate / Teamwork

Decision Making

Attention to detail / rigor

Client focused

Transversal Skills:

Ability to understand, explain and support change

Analytical Ability

Ability to develop and adapt a process

Ability to anticipate business / strategic evolution

Ability to develop others & improve their skills

Education Level:

Bachelor Degree or equivalent

Experience Level

At least 7 years

Other/Specific Qualifications (if required)


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