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BNP Paribas
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Manager - Compliance Officer

Manager - Compliance Officer

BNP Paribas

7 - 12 years

7 - 11 Lacs

bengaluru

Posted:2 days ago| Platform:

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Skills Required

risk assessment regulatory auditing regulations inspection aml due diligence anti money laundering compliance training capital market regulatory requirements company secretarial legal compliance kyc mis corporate governance

Work Mode

Work from Office

Job Type

Full Time

Job Description

Position Purpose

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

Direct Responsibilities

I. Roll out and monitor adherence to Compliance Policies

- 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 of Transition related documents

- 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. Compliance Trainings

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

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

IV. Ensure deployment of robust control framework

- 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. Reporting

- Preparation of various MIS, dashboards and other compliance reports

Contributing Responsibilities

- 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

Technical & Behavioral Competencies

- 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

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Manager - Compliance Officer