Manager/AVP – WM – Internal Control Officer

July 10, 2024

Manager/AVP – WM – Internal Control Officer


  • Permanent
  • IN-Maharashtra-Mumbai
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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 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 10000 employees, to provide support and develop best-in-class solutions.

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 specialised 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

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.

About Business line/Function:

Within the Asia Pacific CIB IT & Operations organization, the WM Internal Control team is under the management of the WM Head of Operations and Internal Control, and works in close relationship with the ISPL WM Operations team, Regional Processing Centre, and WM APAC Conduct & Control teams.

Job Title:

Manager/AVP – Internal Control Officer  




ISPL WM Operations and Internal Control  



Business Line / Function:


Reports to:


ISPL WM Head of Operations and Internal Control  


(if applicable)


Number of Direct Reports:

Directorship / Registration:


Position Purpose

Main responsibilities is to implement the operational risk management framework and monitor the operational risk related to ISPL Wealth Management activities. Hence, to analyze control results and incidents to identify main operational risks and follow the associated mitigation/remediation actions (including recommendations).  


Will also be responsible for the improvement of the overall internal control mechanisms to ensure compliance with regulatory requirements and BNPP Group standards.  

Control framework

·         Work closely with WM APAC Conduct & Control and ISPL Operations teams to ensure that guidelines established centrally are adapted in APAC.

·         Update RCSA and risk maps as part of the implementation of the Operational Risk framework.

·         Identify and remediate gaps in the control framework based on IG missions, RISK ORM permanent control actions, open risk areas, TAC/NAC, projects and incidents.

·         Subsequently review the control plans using a risk-based approach.


Risk management

·         Monitor the ORUS controls results declared by Operations Teams and report the sign-off status.

·         Design the control plan to be executed by the WM Internal Control team following a risk-based approach.

·         Perform the control testing as defined in the control plan and validate the action plan with ISPL Management  

          and WM APAC Conduct & Control. Ensure reporting of control outcome to relevant stakeholders.

·         Ensure operational risk incidents are properly collected, coordinate the root cause analysis and   

          contribute to the definition of remedial actions.

·         Follow-up and contribute to close recommendations/permanent control actions/incident remediation actions

          assigned to ISPL Wealth Management.

·         Ensure adherence to reporting in all tools (ORUS, 360, Aurora, etc.)

·         Take a step back to identify key risk areas and to propose long-term remediation actions to ISPL management.


Control governance

·         Own and facilitate the quarterly WM Risk Committee.

·         Liaise with territory OPCs to ensure that WM and Compliance risk control framework is uniformly adopted across

          the Region.

·         With the other ITO OPCs, contribute to the risk awareness within ITO and bring into the spotlight key areas of


·         Actively support a front-to-back approach via a strong collaboration with WM APAC Conduct & Control

           and a clear reporting on risks and mitigating actions for the concerned business.

·         Closely collaborate with Risk ORM by attending regular meetings and sharing relevant information.


Regulations, Procedures and Code of Conduct

·         Pro-actively monitor the regulations changes to ensure cascading in Operations teams.

·         Monitor the implementation of global/local regulations and internal policies by Ops teams.

·         Ensure compliance with global and regional policies, especially Compliance and IT Security. ·         Ensure respect of the BNPP standards of Code of Conduct.

Technical & Behavioral Competencies

·         Minimum 5 years of experience in the following areas : Wealth Management Business Risk Management, Wealth

          Management Operational Risk & Control (1LOD), Compliance (2LOD), or, audit department.

·         Good analytical skills and control mindset.

·         Ability to integrate various information and synthesize them.

·         Good communication and presentation skills, with ability to interact with operations staff and Senior


·         Ability to work independently and as part of a team.

·         Coordination and multi-tasking skill.

·         Proficient in Microsoft Office Suite (Excel, PowerPoint, Word) for statistical analysis and report production.


Specific Qualifications (if required)

Skills Referential

Behavioural Skills: (Please select up to 4 skills)

Critical thinking

Ability to synthetize / simplify

Ability to collaborate / Teamwork

Communication skills – oral & written

Transversal Skills: (Please select up to 5 skills)

Analytical Ability

Ability to develop and adapt a process

Ability to set up relevant performance indicators

Ability to manage / facilitate a meeting, seminar, committee, training…

Ability to understand, explain and support change

Education Level:

Bachelor Degree or equivalent

Experience Level

At least 10 years

Other/Specific Qualifications (if required)

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