Private Side Front Office Conduct Surveillance

1 week ago

London, United Kingdom BNP Paribas Full time

PRIVATE SIDE FRONT OFFICE CONDUCT SURVEILLANCE OFFICER (JOB NUMBER: 23961)

**Bank Overview**

BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 73 countries, with more than 196,000 employees, including around 149,000 in Europe. The Group has key positions in its three main activities: Domestic Markets, International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises: corporate clients and institutional investors.

BNP Paribas Corporate and Institutional Banking is a globally recognised leader offering capital markets, securities services, financing, treasury and advisory solutions.

**Business Area/Dept Overview**

Front Office Conduct Surveillance Team, CCCO, Global Markets

**Purpose & Scope of role**
- Purpose: BNP Paribas has established a first line of defence (1LoD) surveillance function within Global Martkets (GM) Front Office (FO) under the remit of CIB/ GM Chief Conduct Officer (CCCO) and is looking for an Officer to support Senior FOCS Managers with the eComms surveillance of Front Office staff
- Scope: Staff in scope for FOCS surveillance in EMEA

**Key Responsibilities of role**
- Monitor the electronic communications of staff in scope of FOCS surveillance;
- Escalate potential breaches to the relevant Business Lines, Conduct Representatives, Compliance, or others in in line with the Front Office Conduct Surveillance (FOCS) Escalation Procedure;
- Ensure escalation results are documented, recorded and reported to the relevant stakeholders and Management
- Contribute to the continuous improvement of the effectiveness and efficiency of the FOCS surveillance processes including but not limited to:

- Suggestions to help refine keywords/expressions to ensure effective monitoring
- Suggestions to improve the MI reporting and analysis carried out during the implementation of surveillance vectors
- Manage additional controls, take on ad hoc projects and requests for information
- Work collaboratively and maintain good relationships with the rest of the FOCS team, Compliance, the Business and other stakeholders
- Act professionally at all times and comply with the ethical standards and conduct expected by BNP Paribas and other relevant regulatory authorities
- Comply with all applicable legal, regulatory and BNPP internal compliance policies as well as Code of Conduct. This includes but is not limited to Financial Security, Know Your Customer, Due Diligence, Client Interest Protection, Market Integrity, Professional Ethics and Respect for colleagues
**Experience, Qualifications & Competencies**

**Essential**
- Experience in Financial Markets, Debt Markets, Compliance, Risk or other Control Functions
- Fluent in English (other languages are a plus)
- Communicates clearly and concisely both verbally and in writing.
- Demonstrates a good awareness of market risk and fundamental risk concepts
- Proficient in MS Office skills (including Excel, Word, Powerpoint)
- Ability to manage workloads and time management efficiently
- Be a role model supporting and fostering a culture of good conduct
- Displays dedication and prioritises problems, considering impact on the business and colleagues
- Problem solving and analytical skills
- Diligent

**Preferred**
- Bachelor’s degree or higher, in economics, banking, finance, related studies or equivalent relevant experinece
- Understanding of Market Abuse and Conduct risks is considered a plus

**Primary Location**: GB-ENG-London

**Job Type**: Standard / Permanent

**Job**: PERMANENT CONTROL

**Education Level***: Bachelor Degree or equivalent (>= 3 years)

**Schedule**: Full-time

**Entity***: Corporate & Institutional Banking

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