Global Markets Front Office Conduct Surveillance

Há 5 dias

Porto, Portugal BNP Paribas Tempo inteiro

**About the job**

BNP Paribas has established a First Line of Defence (1LOD) Surveillance function within Global Markets (GM) Front Office (FO), under the remit of CIB / GM Chief Conduct and Control Officer (CCCO).

This function, the Front Office Conduct Surveillance (FOCS) team, monitors today both Global Banking’s Capital Markets and Global Markets Global Business Line (GBL)’s voice and electronic communications and trading activity together with the trading activity of our clients and competitors, with the objective of deterring, detecting, and preventing Market Abuse and Conduct Risk breaches.

This is a position with high exposure that allows development of skills in monitoring and risk management. The scope will be to monitor electronic communications of Global Banking staff to ensure compliance with appropriate rules, regulations and company policies and procedures, while being compliant at all times with internal rules and regulations applicable to surveillance activities. Frequent Interaction with regional Compliance teams, business/front office and other internal stakeholders is likely, including providing weekly/monthly MI and KPIs.

**Your Main Activities Are**
- Project sponsor for new surveillance tools or technology (as required);
- Monitor the electronic communications of Global Banking staff in scope of surveillance;
- Escalate potential breaches to the Heads of Global Banking Business Line, GB CCCO EMEA and/ or 2LOD (Compliance, Risk ORC), in line with the FOCS Escalation Procedure;
- Ensure that the monitoring and surveillance results are documented and communicated appropriately to Global Banking Management, CCCO GB EMEA and other relevant stakeholders, notably through Management Information (MI) reports or GB Conduct & Ethic Boards;
- Contribute to the continuous improvement of the effectiveness and efficiency of the FOCS surveillance set-up, including but not limited to:

- The refining of lexicons (lists of keywords/expressions to monitor more effectively communications;
- The improvements of FOCS surveillance tools with the support of IT, Quantitative Research or other relevant stakeholders;
- The performance of analyses about and/or the implementation of additional surveillance vectors;
- Collaborate and maintain a good relationship with relevant 1LOD/2LOD stakeholders:

- Within 1LOD, collaborate and maintain a good relationship with GB FO representatives and Senior Management, and refine the escalation procedures / reports, where possible, in order to help them manage their business more effectively;
- Within 2LOD (Compliance, Risk ORC), provide expertise to them with their investigations and analyses when required, and / or liaise with them to obtain additional information and further investigate potential conduct breaches;
- Provide input into and assist with the drafting/regular updates of the policies and procedures
- Act, behave appropriately and comply with the general ethical standards expected by BNP Paribas Group and relevant regulatory authorities.
- Comply with all applicable legal, regulatory and Group's internal compliance requirements as well as Code of Conduct including, especially, Financial Security, Fight against Corruption, Know Your Customer, Due Diligence, Client Interest Protection, Market Integrity, Professional Ethics and Respect for colleagues.

**Profile and Skills to Success**
- Bachelor’s degree or higher, in economics, banking, finance or related studies
- Knowledge of global banking activities/products, financial markets, trading and financial products
- Fluent in English, French is a plus
- Communication - Communicates clearly, both verbally and in writing.
- Good knowledge of Bloomberg
- Good knowledge of Middle Office Operations
- MS office proficiency - Advanced knowledge of Excel is essential
- Demonstrates a good awareness of risk and fundamental risk concepts.
- Understanding of Market Abuse and Conduct risks

**About the Team**

BNP Paribas’ Global Markets business offers a broad range of products and services in the global interest rates, credit, currency, equities & commodity markets. Global Markets help their franchise of clients find effective ways to raise and invest capital as well as manage their exposure to risk. Their client base comprises of hundreds of corporations, institutional investors, banks, governments and supranational organizations.
Global Markets has the scale and reach to conduct business anywhere in the world and deliver products denominated in almost all of the world’s currencies. Their global network comprises more than 1,700 professionals working on our six main trading floors in London, Hong Kong, New York, Paris, Singapore and Tokyo. They are supported by regional offices throughout Europe, the Americas, Middle East and Asia-Pacific.

**Why joining BNP Paribas?**
- **Leading banking institution**

BNP Paribas is a leader in the Eurozone, and a prominent international banking institution with strong roots

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