Job Title: Compliance Review Controller (Associate)

Department: India Compliance COE

About Business line/Function: CIB

India COE Compliance Hub: The India CoE Compliance Hub serves as a strategic global partner to Compliance functions, helping safeguard the Group’s reputation and manage risk across all business lines. Organized around specialized service domains, the Hub provides expertise in Financial Security (KYC, Sanctions, and Quality Assurance), Operational Risk & Controls, Conduct, Data Governance, Market Integrity, Operational Efficiency and AI Enablement, and other transversal Compliance activities.

Working in close partnership with stakeholders across geographies and business lines, the Hub drives operational excellence, enhances risk management capabilities, fosters innovation, and supports the execution of the Group’s global Compliance strategy.

Responsibilities

Direct Responsibilities

The person will be a part of the Transversal Risk Management (TRM) team reporting to Team Lead, Non-FS Controls.





Perform testing and controls as defined by testing and control procedures under the supervision of TRM Managers or their delegates in order to assess and review compliance with legal, regulatory and firm’s policy and procedure requirements
Maintain an audit trail for all work carried out during the control testing, reporting and action plan stages
Escalate weaknesses identified to TRM Managers for discussion and further investigation if deemed necessary.
Draft and validate issues and recommendations addressing the root cause of the issues with stakeholders.
Ensure that all findings and recommendations are entered into the appropriate tool for tracking purposes, perform periodic follow-up with stakeholders of open issues and review / validate submitted closure evidence to ensure proper resolution.
Report results in Digitized Control Sheets, SharePoint Workflow, CIB/TRM SharePoint Reporting tool & PowerBI dashboards. Ensure to use various tools as rolled o

📌 Associate - Compliance Review Controller (Mumbai)
🏢 BNP Paribas
📍 Mumbai