Assistant Vice President - Compliance Officer

• Implementing Code of Conduct key requirements, BNP Paribas policies and local regulations by taking into account the specificities and regulations applicable to the Territory.
• Ensuring relevant controls are set up and implemented and the commitments for insourced services are carried out in accordance with terms of SLAs.
• Ensuring regulatory commitments given for offshoring activities are adhered to.
• Contributing to the definition and implementation of appropriate measures to manage compliance risks

Responsibilities

I.

- Manage Professional Ethics (PE) related activities and controls

- Ensure adherence to existing Compliance Policies including Personal Account Dealing (PAD) Policy, Gifts & Invitations Policy, Outside Business Interest Policy, Professional Code of Conduct Policy, Anti Bribery and Corruption Policy

- Review new policies rolled out and implement the same for ISPL, as applicable / appropriate

- Manage Financial Security (FS) related activities and controls over clients, vendors, employees and operational aspects

II.

- Review Service Level Agreements (SLA), Activity Review Process (ARP) and Risk Assessment (RA) documents from service provider Compliance perspective

- Interact with the service recipient Compliance team and seek their views / opinions / conditions and ensure all requirements are implemented and managed adequately

- Maintain repository of transition related Compliance approvals

III.

- Conduct and facilitate compliance trainings (mandatory and targeted) for ISPL staff

- Regularly communicate policies and major changes / highlights through various channels

IV.

- Rolling out and performing controls based on service recipient compliance/regulatory requirements for offshored activities (e.g. voice recording, Chinese Wall, etc.) and also local requirements and analyzing results of the same to identify and mitigate the relevant risks

- Coordinate on compliance related incidents and ensure appropriate action plans are put in place

- Perform regular compliance check and challenge on RCSAs and control plan gap analysis to ensure applicable risks are identified and suitable mitigating controls are in place/proposed

• Review queries on outsourcing and technical assessments from compliance perspective

V.

- Preparation of various MIS, dashboards and other compliance reports

- Coordination with various departments / mtiers / functions / countries

- Communication across all levels to ensure management directions including group guidelines are understood

- Organization & co-ordination of compliance-related awareness-raising and training action

- Participating in new compliance projects and initiatives

• Contributing to preparation of compliance decks in various committees and forums

- General knowledge of Capital Markets and sound understanding of Financial Security matters

- Prior Compliance, Audit, Risk, Inspection or Permanent Control experience will be a considerable plus

- Experience of working in international banking business structure

- Strong English communication skills

- Stakeholder management skills

- Self-motivated and result oriented, with the ability to identify & solve issues and work under pressure

Other/Specific Qualifications

Compliance related certifications from recognized institutions