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Front Office Controls Officer Full-time

de BNP Paribas em Lisboa (Publicado em 09-10-2019)

BNP Paribas is a leading European bank with an international reach. It has a presence in 72 countries, with more than 192,000 employees ? including more than 146,000 in Europe and over 4,000 in Portugal alone.

BNP Paribas is present in Portugal since 1985, having been one of the first foreign banks to operate in the country. Today, BNP Paribas has several entities operating directly in this territory, offering a wide range of integrated financial solutions to support its clients and their businesses.

Worldwide, the Group has key positions in its three main activities: Domestic Markets and International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises: corporate clients and institutional investors. The Group helps all its clients (individuals, community associations, entrepreneurs, SMEs, corporate and institutional clients) to realise their projects through solutions spanning financing, investment, savings and protection insurance.

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.

Global Markets is made up of over 3,700 staff globally based in EMEA, the Americas and Asia Pacific, with the main trading floors located in London, Hong Kong, New York, Paris, Singapore and Tokyo.


Reporting to the Head of Global Regulatory Controls you will be responsible for maintaining the BNP internal database ?Know Your Trader? and performing manual uploads to trading venues to comply with miFID II regulatory requirement.

As the team are responsible for all communication with Sales/ Trading and all external Trading Venues to ensure breaks are resolved effectively, good communication skills are paramount.

The team are also responsible for implementing global controls; across all asset classes and performing 1st line of defence BAU processes for different regulatory bodies, eg miFID II, FED, CFTC.


1. Trading Venues and KYT (Know your trader):

  • Upload personal data of each trader/sales that request for quote (RFQ) on to trading Venues;

  • Approval and maintenance of KYT?s requests/profiles;

  • Coordinate with the Trader& Sales their TV selection within KYT to assist other internal teams;

  • Monitor Discrepancy queries with Trading Venues;

  • Compile KPI?s (key performance indicators) and Management Information;

2. Issue Master Control:

  • The FOC Team run a quarterly control (effective protection of confidential information) on all Sensitive Entitlements in IssuesMaster (internal system);

  • Fully investigate all discrepancies and escalation to Top Management;

  • Run weekly reports until all issues are resolved and individuals access is removed;

3. Best Execution:

  • Daily monitoring of all asset classes (Fixed Income and Equities) to ensure that traders are not trading outside the mid-price perimeter;

  • Investigate all trades outside and review comments;

  • Escalate breaches to management;

4. Ad-Hoc Requests:

  • Complete monthly KPI?s and MI packs

  • Ad-hoc analysis for set deadlines

  • Perform trend analysis comparison to previous weeks/months

  • Proposing appropriate preventive or corrective measures to improve controls


  • Master Degree Finance, Science, Maths, IT & Engineering on Top Tier international Business School

  • Experience in investment banking is an advantage

  • Flexible working across different tasks and Business Lines within FOC

  • Analytical and quantitative skills

  • Excellent knowledge of PPTX, Excel, VBA (other languages would be a plus)

  • Precision, rigorousness

  • Accounting and financial background (Preferred)

  • Reliability, capacity to deliver

  • Autonomy, proactivity

  • Team spirit, ability to work with others

  • Ability to communicate clearly in both oral and written form (English)

Please note that only applications submitted in English will be considered.

In case you are selected for this role, further documentation will be requested to support your hiring process.

BNP Paribas is an equal opportunity employer and proud to provide equal employment opportunity to all job seekers. We are actively committed to ensuring that no individual is discriminated against on the grounds of age, disability, gender reassignment, marriage or civil partnership status, pregnancy and maternity, race, religion or belief, sex or sexual orientation. Equity and diversity are at the core of our recruitment policy because we believe that they foster creativity and efficiency which in turn increase performance and productivity. We strive to reflect the society we live in, while keeping with the image of our clients.

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