Front Office Control and Surveillance

1 week ago

Montreal, Quebec, Canada BNP Paribas Full time
FRONT OFFICE CONTROL AND SURVEILLANCE E-COMMUNICATIONS ANALYST (

JOB NUMBER:
CCCO SOS)

In a changing world, unprecedented challenges require unmatched talent. Join one of Montreal's Top Employers in 2023.

We are a dynamic and growing organization having its main establishment located in downtown Montreal and part of a leading international banking institution fully committed to building a more sustainable future.

Note that the position may be in the Canadian Branch of BNP Paribas or in one of its subsidiaries based in Montreal.


The position at a glance


In response to regulatory requirements, BNP Paribas has established a First Line of Defense Surveillance function within CIB business reporting into Chief Conduct and Controls Office (CCCO).

The FOCS (Front Office Control & Surveillance) team monitors

  • Trading & Sales business activity, Electronic and Voice Communications, with the objective of deterring, detecting, and preventing Conduct Risk breaches
  • Developing automated tools for monitoring and performing customized data analytics
  • Escalating potential issues and resolving satisfactorily
  • Developing systems capabilities and customizing new systems to meet firm expectations

In detail

  • Review Ecommunications of bank employees for adherence to firm and regulatory rules and requirements
  • Detect, review and report potentially suspicious activities
  • Conducting both routine and special inquiries as required or requested
  • Working with FOCS (Front Office Conduct and Surveillance) managers to resolve instances of apparent breaches of firm and regulatory rule
  • Coordinate with other regional/global FOCS team members on a daily basis
  • Contribute to the design, implementation and refinement of the monitoring procedures to more effectively identify actual or potential conduct risk scenarios
  • Contribute to the team governance via projects or improving documentation
  • Proactive and timely escalation of issues to the Monitoring Manager
  • Ensure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary
  • Assist in preparing management information and reporting regarding surveillance and monitoring activities
  • Assist in the enhancement of existing processes and develop new processes for identifying instances of Market Abuse and breaches to Conduct of Business and Exchange rules etc.
  • Contribute to the setup, implementation, testing and operation of risk prevention tools
  • Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to Compliance policies and procedures as issued from time to time

The strengths and skills that will help you succeed

  • Bachelor's degree
- +5 years of relevant experience, including 1year Surveillance/Compliance/Risk Management experience, and 3 years within a financial services/securities environment

  • Excellent interpersonal and communication skills with management and transversal functions
  • Adaptability
  • Be a role model, supporting and fostering a culture of good Conduct
  • Demonstrate proactivity, transparency, and accountability for identifying and managing conduct risks
  • Consider the implications of your actions on colleagues, partners and clients before making decisions, and escalate issues to your manager when unsure
  • Knowledge of the capital markets, of trading and business terminology is a significant advantage
  • Strong organizational skills and ability to multitask and prioritize based on potential impact
  • Capacity to analyze issues, synthesize findings and communicate them in an effective manner
  • Proven ability to work autonomously
  • Advanced knowledge of Excel and PowerPoint/presentation skills
  • Generally comfortable and adept at learning and using technology tools
  • Knowledge in English is required
  • Spanish, Portuguese or other languages is an asset

What's in it for you


In addition to competitive compensation, we offer flexible benefits including a family and spouse insurance program, a defined contribution pension plan and paid days for volunteering.

Hybrid work arrangements, such as remote working up to 50% and flexible working hours are available for most positions.

BNP Paribas provides excellent training and personal development programs, as well as opportunities for career development within the company and internationally.

To find out more about our range of benefits, click here

What you need to know

  • If you are selected to participate in the recruitment process, please inform Human Resources of any accommodations you may require. BNP Paribas will work with you to ensure that you are able to participate fully in the process;
  • You must be legally eligible to work in the Greater Montreal area and, if applicable, hold a valid work or study permit. Physical presence in BNP Paribas' office(s) is an essential function of this position;
  • Given the vast majority of our clients, both inter

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