Focs Voice and Ecomm Surveillance Associate

1 week ago

Montreal, Quebec, Canada BNP Paribas Full time
FOCS VOICE AND ECOMM SURVEILLANCE ASSOCIATE (

JOB NUMBER:
CCO 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 Global Markets (GM) business reporting into Chief Conduct and Controls Office (CCCO).

GM CCCO is part of Global Markets FO, but independent from the Business and is also part of the 1st Line of Defense.

The FOCS (Front Office Control & Surveillance) team monitors

Trading & Sales business activity and 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


The team is quite unique in the industry and has proved efficient in identifying potential conduct risk to BNPP managers.

The team can easily follow market events and work with FO management by being located close to the trading floor.


In detail
Review Voice and E-communications 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 rules
  • Proactive and timely escalation of issues to the Monitoring Manager
  • Provide daytoday assistance and support to the regional Surveillance teams
  • 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.
  • Ensure the use of workflow investigation tools
  • Contribute to the setup, implementation and operation of risk prevention tools
  • Contribute to the implementation of Regulatory, Group and CIB standards against money laundering, fraud, corruption, terrorism, etc.
  • 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

  • 7 years Surveillance / Compliance/ Risk Management experience within a financial services/securities environment helpful
  • Bilingual in French and English is a must
  • 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
  • Knowledge of trading and business terminology is a significant advantage
  • Strong organizational skills 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
  • Ability to organize data sets
  • Generally comfortable and adept at learning and using technology tools
  • PowerPoint/presentation skills
  • Proficiency in Spanish and Portuguese a plus
  • Project management experience a plus

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

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