Department

Job Title:

About Business Line/Function

Position Purpose:

EMEA CIB Front Office Conduct Surveillance (FOCS or 1LOD) and Compliance Market Abuse Surveillance (MAS or 2LOD) are responsible for conducting surveillance reviews that are intended to detect potentially suspicious behavior including potential violations, problematic patterns or practices and other concerns that may be in contravention of securities regulations and/or BNP Paribas (“BNPP” or the “Firm”) policies.

In support of the CIB Market Abuse Surveillance program, the objective of the Trade & E-Communications Quality Assurance Program (Trade & E-Comms QA) is to review the evaluation and investigation of trade and e-comms surveillance alert execution. In conducting this evaluation, QA will determine the extent to which CIB Surveillance teams sitting within both Lines of Defence have complied with applicable policies, procedures, standards and guidance materials issued by the Bank and applicable regulatory requirements.>

Responsibilities

Direct Responsibilities

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Conduct reviews of Trade and e-Communication (E-com) Surveillance carried out to assess compliance with legal, regulatory and internal Bank policy requirements.
Escalate potential issues and exception items to respective Compliance management and Front Office Conduct and Surveillance (FOCS) team
Prepare reports to Senior Management detailing review findings and action plans; report on significant activities conducted and planned.
Anticipate regulatory requirements and ensure the requirements are met within Surveillance teams.
Lead working groups that focus on enhancing controls/quality of the Trade and E-com Surveillance programme.
Conduct investigations.
Input to the drafting of QA reports to present trends and observations noted during the evaluation of alerts. Design and deliver a structured training covering surveillance tools, review procedures, data‑quality standards, as needed.
Leads and coordinates training initiatives

📌 AM - Market Abuse Surveillance - Quality Assurance (Mumbai)
🏢 BNP Paribas
📍 Mumbai