Associate Level 1 - Capital Market Investigator
BNP Paribas
- Mumbai, Maharashtra
- Permanent
- Full-time
- Training Support
- Capital Markets Surveillance
- Employee Personal Account Dealing
- Electronic Communications Surveillance
- Offshoring/Outsourcing Coordination
- Projects & System Support
- KYC Support
- AML Post transaction monitoring Support
- Review, analyse and close alerts generated by an automated monitoring system AT LEVEL 1 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 to team manager and discuss basis for transactions deserving of further investigation to Level 2.
- Obtain and upload alert analysis results and relevant material for record keeping purposes and conclude the alerts with the indicative target timelines without compromising the quality and completeness of the analysis
- Ensure escalation of alerts to Level 2 Investigator is proper, in a timely manner and supported by relevant information and due diligence search results
- Comply with procedure and other relevant policies/ procedures of BNP Paribas group and regulations, and industry best practice
- Collaborate and work in tandem with team members and relevant stakeholders
- Be supportive and adoptive to changes of procedures and scope of work
- Meet the QA requirements and the expected daily alert closure volume
- At least 2 years’ experience in banking /financial industry
- A good understanding of capital markets
- Familiar with Market Abuse types
- Good communication skills and eager to learn
- Analytical and with an investigative eye for accurate details and red-flag situations
- Ability to work in a team as well as independently
- Ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short timeframes
- Must have strong interpersonal skills, a flexible, collaborative and team-oriented approach to problem-solving and an ability to work in a fast-paced, rapidly changing environment
- Capital Markets Certifications
- Bachelor’s degree or higher, in some type of investment banking discipline