Senior Associate / Assistant Manager - RISK ORM ISPL
BNP Paribas Personal Finance
Mumbai, Maharashtra, India
6d ago


Operational Risk Framework Assessment :

  • Management of procedures : ensure process and procedures issued by the 1st Line of Defense are consistent with Group standards (upper level procedures).
  • Oversight on 1st Level controls : ensure that the 1st Line of Defense control framework is effectively designed and implemented.
  • Risk & Control Self-Assessment (RCSA) check and challenge :
  • o Risk mapping : ensure risks are identified and correctly assessed;
  • o Control mapping : ensure the control framework is updated and relevant to risks;
  • o Residual risks assessment challenge.

  • Review and validation of derogations (exemptions) to procedures and control plans.
  • Incident Management :
  • o Challenge historical incidents analysis and action plans defined;
  • o Analyse impact on risk and control framework assessment;
  • o Perform Quality Review on Historical Incidents collected.

  • Recommendations and Permanent Control Actions : monitoring of closure.
  • Contribution to the Operational Risk &Control report.
  • Governance :

  • Contribute to the preparation, organisation and secretariat of the operational risk related committees (and notably the Internal Control Committee) at ISPL level in liaison with ISPL relevant teams.
  • Ensure comprehensive coverage of agenda items as per Group reference procedure.
  • Monitor the action plans identified.
  • Independent Control Testing for ISPL and thematic reviews :

  • Supervise First Line of Defense Control framework through adequacy assessment, verification and challenge
  • o Ensure that 1st level controls are performed in line with procedure and properly documented (audit trail),

    o Ensure that unsatisfactory or marginally satisfactory controls result in the implementation of an action plan.

  • Execute relevant 2nd level controls (Re-performance) on relevance and performance of local extensions of generic control plans including Compliance delegated GCPs, if any.
  • Assist and advise the 1st Line of Defense in ISPL on 1st level controls improvements.
  • Review specific activities or processes from an operational risk perspective, to ensure that the relevant risks are correctly identified, assessed and appropriately mitigated.
  • Alert and escalate on attention points resulting from the controls.
  • Contribute to the production of a synthetic, comprehensive, and actionable testing results finding and recommendation reporting to senior management and RISK ORM.
  • Awareness / Training / Projects & Initiatives :

  • Promote and drive awareness to risks across ISPL.
  • Contribute to RISK ORM meetings, forums and committees.
  • Technical & Behavioral Competencies


  • General risk management awareness.
  • Sensitivity and / or experience in operational risk.
  • In-depth CIB-metier, products and processes knowledge.
  • Risk Identification, Risk Monitoring, Risk Mitigation, Risk Reporting Techniques and systems.
  • Familiarity with Computer applications such as Excel, Word, PowerPoint.
  • Familiarity with banking IT systems.
  • Familiarity with data analytics tool is an advantage.
  • Behavioral

  • Excellent interpersonal skills
  • Good presentation skills; clear verbal and written communication
  • Ability to work in a multi-cultural, team-oriented environment
  • Ability to work independently
  • Exhibit pro-activeness
  • Excellent project management skills
  • Demonstrate fine attention to details
  • Synthesis capabilities / problem solving skills
  • Service quality orientation
  • Result-focused, ability to honor tight deadlines
  • Specific Qualifications (if required)

  • Prior experience or practical understanding in previous roles may include but not limited to Front / Middle / Back Office, Operations or Functional role(s).
  • Previous experience in supervisory function such as RISK, Audit, Compliance, Finance is an advantage.
  • Skills Referential

    Behavioural Skills : (Please select up to 4 skills)

    Ability to collaborate / Teamwork

    Ability to synthetize / simplify

    Communication skills - oral & written

    Critical thinking

    Transversal Skills : (Please select up to 5 skills)

    Analytical Ability

    Ability to manage a project

    Ability to develop and adapt a process

    Ability to manage / facilitate a meeting, seminar, committee, training

    Education Level :

    Master Degree or equivalent

    At least 5 years

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