Job Title: Associate & Analyst - Trade & Communication Surveillance

Department: Front office support

About Business line/Function: Front office conduct surveillance

Position Purpose: The number of surveillance models that are being deployed for FOCS is expanding at a very quick pace. This expansion is being driven by new regulations and by an increase in the recommendations that are the output of internal and external audits and regulatory visits. This expansion will also increase the alert population and surveillance coverage and will require additional staff to investigate each occurrence to determine whether there is sufficient reason to generate a suspicious activity report.

The risk type currently covers both Trade Surveillance (e.g. Insider trading, Spoofing, Wash trading, Layering, Watchlist etc…) & Electronic Communication Surveillance (e.g. use of unauthorized communication channel, data leakage, inappropriate sharing of MNPI/confidential information etc…). Communication surveillance is part of the FOCS function of BNP PARIBAS CIB.



It is responsible for monitoring and reviewing the communications of authorized and registered employees who conduct trading and sales activity on behalf of the bank, such as brokers, traders and sales staff

Trade Surveillance

Responsibilities

Direct Responsibilities

• Review, analyse and close alerts generated by an automated monitoring system at LEVEL1 in accordance with relevant review process as defined in the operating guidelines
• As necessary, use available research tools to identify publicly available information concerning transactions to be identified for further investigation.
• Escalate alerts for transactions deserving further investigation to Level 2.

Contributing Responsibilities

• Obtain and upload alert analysis results and relevant material for record keeping purposes and conclude the alerts within the indicative target timelines without compromising the quality and completeness of the analysis
• Ensure

📌 Trade & Communication Surveillance Associate (Mumbai)
🏢 BNP Paribas
📍 Mumbai