Investment Compliance Monitoring Analyst

In Asia Pacific,BNP Paribas is one of the best-positioned international financial institutionswith an uninterrupted presence since 1860. Currently with over 18,000employees* and a presence in 13 markets, BNP Paribas provides corporates,institutional and private investors with product and service solutions tailoredto their specific needs. It offers a wide range of financial services coveringcorporate & institutional banking, wealth management, asset management,insurance, as well as retail banking and consumer financing through strategicpartnerships.

Worldwide, BNPParibas has a presence in 68 markets with more than 193,000 employees. It haskey positions in its three main activities: Domestic Markets and InternationalFinancial Services (whose retail-banking networks and financial services arecovered by Retail Banking & Services) and Corporate & InstitutionalBanking, which serves two client franchises: corporate clients andinstitutional investors. Asia Pacific is a key strategic region for BNP Paribasand it continues to develop its franchise in the region.

• excludingpartnerships

BNP Paribasoffers you an exciting career in an international business environment that isfast-paced, diverse and focuses on creating high-value relationships with ourclients. We offer competitive salary and benefits, as well as a workingenvironment where you're valued as part of the team.

(Opens in a new tab)

Overall Job Purpose

The Investment Compliance Analyst role sits within the Performance & Compliance client delivery team. The role involves the daily monitoring of rules within client IMAs as well as assisting with daily operational tasks.

The Investment Compliance Analyst interacts directly with clients and investment managers regarding all aspects of IMA monitoring to ensure quality service delivery experience by responding to client queries, resolving issues and participating in client service meetings and reviews.

In addition to IMA monitoring, the Investment Compliance Analyst will assist clients with related monitoring activities such as Substantial Shareholder, Exposure and derivatives monitoring.

Areas of responsibilities

Service Delivery

Participate in and support the delivery of investment compliance monitoring services to BNP Paribas Australian clients.

Act as a contact point in the event of client and/or investment manager queries and requests.

Ensure prompt action taken to address requests and or issues.

Liaise with internal business teams and stakeholders to ensure accurate fund positions

Meet with clients as required to ensure the service delivery is of a high standard, maintaining a strong focus on timeliness and accuracy as measured by service KPIs and MI

Projects & Change

Assist with client change control aimed at developing, extending, or improving the existing service received by the client

Assist with new activity set up and onboarding activities

Assist with business requirements documents, UAT & implementation plans, support and maintain project governance documents

Assist in the optimisation of end production under your oversight, working transversally across the business as required, i.e. proactively look to improve processes and controls

Contributive responsibilities (how the role contributes to the success of business line / function)

Working to deliver service to our clients accurately and on time, thus reinforcing and building client relationships, leading to new business opportunities

Working to ensure operational risk is captured and addressed, securing our functional capabilities

Essential Skills / Competencies

Technical skills and experience

Required:

At least 1-3 years of experience in investment compliance.

Be able to interpret investment mandate agreements into investment rules and set up these corresponding rules within the BNP Paribas compliance system

Investigate breaches of mandate restrictions, identify critical factors and communicate this with both investment manager and client.

Resolution of production issues, client queries and ad-hoc reporting requests, via communication with Investment Managers, clients and internally with BP2S teams from offshore teams, Relationship Management, IT, Fund Accounting and Unit Pricing. Be able to identify and escalate the more complex queries and issues to senior team members in a timely manner as needed. Recommend and implement corrective action where appropriate.

Maintenance and requests to ensure complete reporting, such as adding rules, portfolios, benchmarks, and custom reporting as needed.

Build and apply technical capability through on-the-job training and independent research, staying up to date with industry best practice and regulation.

Ensure appropriate procedures, risk and control guidelines are maintained and adhered to, and identify, update and maintain gaps in controls and procedures.

Identify and work with senior team members to implement improvements to services and processes, in terms of efficiencies and risk minimisation

Ensure Compliance of all processes with internal policies and procedures.

Understanding of financial markets, including all instrument types and derivatives, plus the practical application in relation to portfolio effective exposure, leverage, duration and credit ratings

System / application skills

Essential: Excel, Powerpoint, Word

Highly desirable: Mandarin (both oral and written)

Desirable but not essential: VBA, SQL, PowerQueryUser level knowledge of BNP Paribas production applications

Project Management / Business Analyst skills

Practical experience on boarding new activity into a production process

Strong deadline orientated approach to project delivery

Sound written and verbal communication skills

Ability to exercise good judgment in commitments made in response to client needs whilst balancing with the commercial and operational needs of the bank

Tertiary qualifications preferred, and strong industry experience will be considered.

Competencies

Attention to detail – ensure accuracy and quality in work

Accountability – takes personal responsibility, delivers against personal and team goals

Flexibility – positive and flexible approach to identify preferred solutions to issues and problems

Results focused – understand the strategic objectives of the business as well as the team; work to ensure their achievement with a quality focus.

Client focus – delivers consistently a high standard of client service, aiming to achieve all client deliverables within KPI, and operating in line with the departmental code of conduct

Teamwork – work cohesively with a team of senior professionals to define and deliver against strategy, demonstrates sound intuition and political awareness

Communication – effective verbal and written communication & effective interpersonal ability

Maturity & Judgment - Demonstrates the ability to deal effectively with complex issues, learns from experience, assesses issues using relevant information and applying intuition. Makes informed and considered decisions

Time Management – Prioritise tasks and manage workflow effectively