Associate | Senior Associate | FOCS Trade |26 Ecomm |

!*! About BNP Paribas Group: BNP Paribas is a top-ranking bank in Europe with an international profile. It operates in 71 countries and has almost 1++ 000 employees. The Group ranks highly in its three core areas of activity: Domestic Markets and International Financial Services (whose retail banking networks and financial services are grouped together under Retail Banking & Services) and Corporate & Institutional Banking, centred on corporate and institutional clients. The Group helps all of its clients (retail, associations, businesses, SMEs, large corporates and institutional) to implement their projects by providing them with services in financing, investment, savings and protection. In its Corporate & Institutional Banking and International Financial Services activities, BNP Paribas enjoys leading positions in Europe, a strong presence in the Americas and has a solid and fast-growing network in the Asia/Pacific region. About BNP Paribas India Solutions: Established in 2005, BNP Paribas India Solutions is a wholly owned subsidiary of BNP Paribas SA, a leading bank in Europe with an international reach. With delivery centers located in Bengaluru, Chennai and Mumbai, we are a 24x7 global delivery center. India Solutions services three business lines: Corporate and Institutional Banking, Investment Solutions and Retail Banking for BNP Paribas across the Group. Driving innovation and growth, we are harnessing the potential of over 6000 employees, to provide support and develop best-in-class solutions. About the Function : Front office Conduct Surveillance (FOCS) is a level -1 control team within the front office, and is responsible for putting in place relevant controls (i.e., tools) to review, monitor and escalate (as required); to ensure adherence to acceptable business practices market conduct as outlined, defined and document by the bank. The scope of the team encompasses setting up controls across both electronic communication and trade surveillance for the in scope teams/staff within the front office. Job Title: Associate / Senior Associate Trade & Voice Surveillance Investigator Date: Department: ISPL FOCS Location: Mumbai Business Line / Function: FOCS Reports to: (Direct) Grade: (if applicable) (Functional) Number of Direct Reports: - Directorship / Registration: NA Position Purpose ISPL FOCS has been established in July 2020 at ISPL in Mumbai, India and is part of Front Office support. The scope of work includes offshoring administrative and Level I support to Capital Markets Surveillance Responsibilities Direct Responsibilities • Review analyse and investigate market abuse trading activity generated by an automated monitoring system AT LEVEL 1 in accordance with relevant review process as defined in the operating guidelines. • Obtain and upload analysis results and relevant material for record keeping purposes and conclude the alerts with the indicative target timelines without compromising the quality and completeness of the analysis • As necessary, use available research tools (e.g. Bloomberg, Reuters) to identify publicly available information concerning transactions to be identified for further investigation • Escalate suspicious trading activity deserving of further investigation to On shore • MIS and reporting of daily activities on timely manner. Contributing Responsibilities • Ensure escalation by Investigator is proper, in a timely manner and supported by relevant information and due diligence search results • Comply with procedure and other relevant policies/ procedures of BNP Paribas group and regulations, and industry best practice • Collaborate and work effectively with team members and relevant stakeholders • Be supportive and adaptive to changes of procedures and scope of work • Meet the QA requirements and the expected daily volume Contributing towards additional team and individual responsibilities. Technical & Behavioral Competencies • Demonstrate personal initiatives, ownership and accountability • Strong Focus on Meeting Deadlines • Additional European language skills preferred • System Skills on Symantec/CA DLP/Autonomy/Global Relay / NICE / FUSION to conduct Electronic Communication Surveillance. Any One of the above systems is an added advantage Specific Qualifications (if required) • Professional level knowledge of securities and banking regulation. • Fluent reading proficiency in English. • Knowledge of trading and business terminology. • 3+ years' surveillance/compliance experience within a financial services/securities environment. • knowledge of MS office specifically Excel. Skills Referential Behavioural Skills: (Please select up to 4 skills) Active Listening Critical thinking Communication skills - oral & written Ability to collaborate and team work Transversal Skills: (Please select up to 5 skills) Analytical Ability Ability to understand, explain and support change Ability to adapt and develop a process Ability to manage a project. Ability to develop others and improve their skills. Education Level: Bachelor Degree or equivalent Experience Level At least 5 years Other/Specific Qualifications (if required) Bachelor’s degree or higher, in banking, finance or related discipline

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