Job ref no.: CT3114387-01#7677

Front Office Conduct Surveillance Officer

BNP Paribas


BNPP Global Markets is seeking to enhance the controls performed at the first line of control for its FXLM business in APAC, especially in terms of electronic communications and trade monitoring.
  • Strategy: contribution to the Conduct Surveillance operational strategy in APAC (definition of search areas and criteria in the light of the risk intensity, continuous improvement of tools and processes, optimization of Lexicon and search methods, pattern recognition, …)
  • System design & implementation: Working with IT and/or external service provider to:
    • define the system specifications and requirements and develop trade surveillance and electronic communications tools
    • Test and deploy of relevant controls for APAC FOCS team
  • Production: daily monitoring of trades and electronic communications of target front office staff:
    • Big data collection & processing
    • Clean-up of output (excluding obvious false positive alerts)
    • Investigation of possible true alerts
    • Ensure timely escalation of true alerts to the team manager for further review
  • Analytics: production performance metrics and KPIs to (i) continuously improve the surveillance framework and strategy and (ii) produce reports to Senior Management.

  • Assertive, agile, willing to learn and adapt to different situations
  • Have the drive to improve processes and proposed solutions
  • Good organization skills and communication skills which is required to clearly articulate any surveillance/monitoring tools enhancement requirements when needed
  • Experience in project management
  • Knowledgeable in IT infrastructures and data mining processes.
  • Ability to manage repetitive tasks which could be tedious
  • Understanding of financial markets products (FXLM, G10 Rates, Credit or Equity Derivatives)
  • Understanding of Conduct risk and market misconduct concepts
  • Knowledge of Bloomberg Vault, Excel macros and trading systems
  • 5-6 years of experience in the Front Office (Sales/Trading), Middle Office, or related Control, Audit, Compliance background relating to GM trading activities
  • Proficiency in Asian languages e.g. Korean, Mandarin or Japanese

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More job information
Job ref no. CT3114387-01#7677
  • N/A
Job Function
Employment Term
  • Full-time
  • 5 years - 6 years
Career Level
  • Non-management level
  • N/A