Associate level 1/Senior Associate-FOCS Trade

Employment contract:



Mumbai, Maharashtra, India






About BNP Paribas India Solutions:

Established in 2005, BNP Paribas India Solutions is a wholly owned subsidiary of BNP Paribas SA, European Union’s leading bank with an international reach. With delivery centers located in Bengaluru, Chennai and Mumbai, we are a 24×7 global delivery center. India Solutions services three business lines: Corporate and Institutional Banking, Investment Solutions and Retail Banking for BNP Paribas across the Group. Driving innovation and growth, we are harnessing the potential of over 10000 employees, to provide support and develop best-in-class solutions.

About BNP Paribas Group:

 BNP Paribas is the European Union’s leading bank and key player in international banking. It operates in 65 countries and has nearly 185,000 employees, including more than 145,000 in Europe. The Group has key positions in its three main fields of activity: Commercial, Personal Banking & Services for the Group’s commercial & personal banking and several specialised businesses including BNP Paribas Personal Finance and Arval; Investment & Protection Services for savings, investment, and protection solutions; and Corporate & Institutional Banking, focused on corporate and institutional clients. Based on its strong diversified and integrated model, the Group helps all its clients (individuals, community associations, entrepreneurs, SMEs, corporates and institutional clients) to realize their projects through solutions spanning financing, investment, savings and protection insurance. In Europe, BNP Paribas has four domestic markets: Belgium, France, Italy, and Luxembourg. The Group is rolling out its integrated commercial & personal banking model across several Mediterranean countries, Turkey, and Eastern Europe. As a key player in international banking, the Group has leading platforms and business lines in Europe, a strong presence in the Americas as well as a solid and fast-growing business in Asia-Pacific. BNP Paribas has implemented a Corporate Social Responsibility approach in all its activities, enabling it to contribute to the construction of a sustainable future, while ensuring the Group’s performance and stability

Commitment to Diversity and Inclusion

At BNP Paribas, we passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued, respected and can bring their authentic selves to work. We prohibit Discrimination and Harassment of any kind and our policies promote equal employment opportunity for all employees and applicants, irrespective of, but not limited to their gender, gender identity, sex, sexual orientation, ethnicity, race, colour, national origin, age, religion, social status, mental or physical disabilities, veteran status etc. As a global Bank, we truly believe that inclusion and diversity of our teams is key to our success in serving our clients and the communities we operate in.

About the Function :

Front office Conduct Surveillance (FOCS) is a level -1 control team within the front office, and is responsible for putting in place relevant controls (i.e., tools) to review, monitor and escalate (as required);  to ensure adherence to acceptable business practices market conduct as outlined, defined and document by the bank. The scope of the team encompasses setting up controls across both electronic communication and trade surveillance for the in scope teams/staff within the front office.




Job Title:

Associate / Senior Associate Trade & Voice Surveillance  Investigator




 GM Conduct & Surveillance



Business Line / Function:

 GM Conduct & Surveillance – FOCS

Reports to:




(if applicable)




Number of Direct Reports:

Directorship / Registration:



Position Purpose

ISPL FOCS has been established in July 2020 at ISPL in Mumbai, India and is part of Front Office support.

The scope of work includes offshoring administrative and Level I support to Capital Markets Surveillance



Direct Responsibilities


  • Review analyse and investigate market abuse trading activity generated by an automated monitoring system AT LEVEL 1 in accordance with relevant review process as defined in the operating guidelines.
  • Obtain and upload 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
  • As necessary, use available research tools (e.g. Bloomberg, Reuters) to identify publicly available information concerning transactions to be identified for further investigation
  • Escalate suspicious trading activity deserving of further investigation to On shore
  • MIS and reporting of daily activities on timely manner.


Contributing Responsibilities


  • Ensure escalation by 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 effectively with team members and relevant stakeholders
  • Be supportive and adaptive to changes of procedures and scope of work
  • Meet the QA requirements and the expected daily volume

Contributing towards additional team and individual responsibilities.

Technical & Behavioral Competencies

  • Demonstrate personal initiatives, ownership and accountability
  • Strong Focus on Meeting Deadlines
  • Additional European language skills preferred
  • System Skills on Symantec/CA DLP/Autonomy/Global Relay / NICE / FUSION to conduct Electronic Communication Surveillance. Any One of the above systems is an added advantage 

Specific Qualifications (if required)

  • Professional level knowledge of securities and banking regulation.
  • Fluent reading proficiency in English.
  • Knowledge of trading and business terminology.
  • 3+ years’ surveillance/compliance experience within a financial services/securities environment. 
  • knowledge of MS office specifically Excel.


Skills Referential



Behavioural Skills: (Please select up to 4 skills)



Active Listening



Critical thinking



Communication skills – oral & written



Ability to collaborate and team work



Transversal Skills: (Please select up to 5 skills)




Analytical Ability



Ability to understand, explain and support change



Ability to adapt and develop a process



Ability to manage a project.



Ability to develop others and improve their skills.



Education Level:

Bachelor Degree or equivalent



Experience Level

At least 5 years



Other/Specific Qualifications (if required)



 Bachelor’s degree or higher, in banking, finance or related discipline