Conduct and Control Office Analyst

CONDUCT AND CONTROL OFFICE ANALYST - FX (Nº DO VAGA: GLO006384)
** Descrição
Global Markets is BNP Paribas' capital markets business within the Corporate & Institutional Bank (CIB), delivering solutions across asset classes, and industry-leading services for clients including Institutional, corporates, private banks and retail distribution networks.
Global Markets encompasses seven global business lines; G10 Rates, Equity Derivatives, Forex & Local Markets, Commodity Derivatives, Credit, Prime Solutions & Financing and Primary Markets, helping their franchise of clients find effective ways to raise and invest capital as well as manage their exposure to risk.
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 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 follow easily market events and work with FO management by being located close to the trading floor.
**Responsibilities**:
- Work with the Macro team to cover FX and Local Markets trading and sales activity.
- Coordinate with other regional 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.
- Use tactical tools, which can search data warehouses at a trade level, filter unwanted information and display the remaining results concisely, for subsequent analysis.
- Monitor Ecommunications using an automated lexicon based tool (RedOwl), investigate keyword violations for context, and conduct more "in-depth" analysis where there may be a suspicion of inappropriate communication.
- Monitoring and investigate trading alerts, opening case management files as required and escalating potential breaches in line with the FOCS Escalation Procedure or to your senior FOCS team member to take the action forward or to clarify an alert
- Contribute to the design and production of timely Management Information for the Heads of Trading & Sales.
- Contribute to the team governance via projects or improving documentation
** Qualificações
**Required qualifications**
***Conduct**
- Excellent 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
**Market, Product and Business Experience**
- Vital to be able to communicate In English and Portuguese
- PowerPoint/presentation skills
- Ability to manage multiple deliverables
**Technical Skills**
- Advanced knowledge of Excel
- Ability to organize data sets
- Generally comfortable and adept at defining and using technology tools
- Programming skills (python) are a plus
***Preferred qualifications**:
- Market, Product and Business Experience
- Spanish, French or other languages a plus
- Capital Markets, Risk Management or Compliance experience also helpful
- Project management experience a plus
"BNP Paribas is committed to providing a work environment that fosters diversity, inclusion, and equal employment opportunity without regard to race, color, gender, age, creed, sex, religion, national origin, disability (physical or mental), marital status, citizenship, ancestry, sexual orientation, gender identity and gender expression, or any other legally protected status."
**Local Principal**: BR-SP-São Paulo
**Tipo de Cargo**: Convencional
**Cargo**: FINANCE ACCOUNTS AND MANAGEMENT CONTROL
**Horário**: Tempo Inteiro
**Entity***: BNP Paribas CIB

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