BNP Paribas has a presence in 72 countries with more than 200,000 employees, including 154,000 in Europe. It ranks highly in its two core activities: Retail Banking & Services and Corporate & Institutional Banking (CIB).
BNP Paribas Corporate & Institutional Bank is a leading European investment bank with global leadership in many of our businesses. With nearly 30,000 employees in over 57 countries, CIB can offer you an exciting and truly global career.
At BNP Paribas CIB, we work continuously on behalf of our clients, helping them to realise their projects around the world. You can be an important part of this, helping us to serve our clients both in mature and emerging markets, providing them with financial solutions across a diverse range of expertise, products and services. Our origins lie in Europe but nearly a quarter of our employees now work in our multi-award-winning Asia Pacific offices and we are a committed player in all markets.
Strong risk management, combined with the stability that comes from being part of one of the largest banking groups in the world, underpin our success. Joining us, you’ll become an integral part of a dynamic team that spans nationalities, cultures and backgrounds, drawing together people from around the globe and reflecting our commitment to international placements.
Compliance is an independent Function responsible for providing specialist support to Senior Management in managing Compliance risks, typically acting as a Second Level of Defence for Compliance-owned risks, including Market Integrity, Protection of Interest of Clients, Financial Security and Professional Ethics.
Financial Markets Compliance is global team and part of Compliance CIB.
Purpose & Scope of role
Financial Markets Compliance Advisory provide clear advice and challenge to Global Markets and ALM Treasury while reinforcing a strong Compliance Permanent Control and Risk culture. Markets Advisory provide compliance input in relation to Global Markets businesses and ensure implementation and management of relevant regulations and global policies. The role may focus on specific business areas initially but all Markets Advisory Compliance officers are expected to gain experience of the full range of Global Markets businesses and roles over time and the assignment to specific teams may change over time.
The role encompasses four main themes:
Advisory – advising the business on Compliance topics for day to day queries, participating in relevant approval and governance committees regarding transactions, businesses or regulatory topics
Training & Awareness – Designing and delivering training on relevant rules and regulations applicable to the Global Markets businesses and undertaking regular induction and refresher training
Regulatory – Being knowledgeable about regulations that impact the business and implementing measures to ensure adherence. Providing input into policies and procedures. Interfacing with regulators.
Risk & Controls – reviewing and challenging the business on the adequacy of risk controls, providing markets expertise in the Risk Assessment, independent testing, control plan and IG review processes.
Specific Scope of Role Initially
Senior Compliance Advisory officer for the transversal sales, distribution and research teams and the EQD sales team in EMEA with a focus on London based teams with extensive experience and some management experience preferable
Key Responsibilities of role
•Act as a point of contact for the Global Markets or ALMT Business, providing advice and guidance on proper controls and procedures and the impact of regulations on their business
•Participate in and contribute to relevant committees on governance, conduct and control issues (TACs/NAC, ICSCs, Conduct Committees, CORe, etc.)
•Provide Compliance input on ad-hoc Business or Regulatory topics
•Coordinate or assist in driving Compliance topics and provide Compliance colleagues and 3LOD with Business context (Risk Assessment, Control Plan, IG reviews)
•Provide Compliance training to the Business on specific topics and help design training on rules, regulations or best practices, in coordination with 1LOD and other Compliance teams
•Provide input into drafting of and maintenance of Compliance Policies and Procedures to guide the Business and meet regulatory requirements
•Challenge the Business and Functions on the adequacy and effectiveness of their risk controls and supervisory framework.
•Develop good working relationships with the business members, ensuring they understand the rules, regulations, policies and procedures so they are able to manage their risks
•Endeavour to understand the Business strategy and identify potential risks proactively and positively to protect the bank
•Provide management information and reports within the timeframe requested in order to support the Head of Markets Compliance in her management reporting requirements