Job Title: Compliance Control Testing – Assistant Manager

Department: India CoE Compliance Hub

About Business line/Function: India CoE Compliance Hub enables safeguarding the Group’s reputation and mitigating the risks across all business lines by supporting the Compliance functions globally. Currently, the India CoE Hub is structured into divisions aligned with the areas they serve, offering services for Group Compliance COO TOP, trade surveillance, electronic communications monitoring, transversal risk management, personal account dealing, MIS, and project support. The team collaborates closely with business partners worldwide

Position Purpose: Independent testing of first‑ and second‑line defenses, in line with internal control procedures and regulations, across compliance domains

Responsibilities

Direct Responsibilities

Conduct independent testing of first‑ and second‑line defenses, in line with internal control procedures and regulations, across compliance domains such as Qualified Ethics, Market Integrity, Client‑Interest Protection, Banking Structural Reforms,



Fiscal Laws and Regulatory reporting topics.
Perform compliance testing of processes, policies, procedures, and controls under the team manager’s direction to evaluate adherence to regulatory mandates and internal firm policies.
Execute, formalize and report on assigned tasks and controls within control testing responsibility.
Thoroughly review all supporting evidence gathered from 1LoD/ local compliance teams to conduct effective control testing.
Escalate identified weaknesses to the team manager for discussion and, if needed, further investigation.
Draft and validate issues and recommendations addressing the root cause of the issues with stakeholders.
Ensure that every finding and recommendation is recorded in the designated tracking system, conduct periodic follow‑ups with stakeholders on open issues, and review/validate closure evidence to confirm proper resolution.
Adhere strictly to contr

📌 Assistant Manager (Mumbai)
🏢 BNP Paribas
📍 Mumbai