Job Title: Compliance Officer

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: India COE 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, Transversal Risk Management (TRM),



Compliance Migrations Co-Ordination, Personal Account Dealing, MIS and Projects support. The team works closely with business partners in CIB and the wider group.

Responsibilities

Direct Responsibilities

Assess metrics to identify and pull relevant samples for Quality Assurance reviews related to AML investigations.
Conduct monthly targeted AML and Sanctions Quality Assurance reviews under the direction of the Head of the Quality Assurance team in order to assess and review compliance with legal, regulatory and internal firm policy requirements in an attempt to identify, report and prevent money-laundering, terrorist financing and market abuse activity within BNPP operations.
Escalate potential issues and exception items noted during the review process to the Head of FIU, QA Manager and local Financial Security teams for discussion and further investigation if deemed necessary.
Prepare and distribute monthly QA

📌 Assistant Vice President (Mumbai)
🏢 BNP Paribas
📍 Mumbai