Compliance Manager, Functions Advisory – Vice President

at  BNP Paribas

REQUIREMENTS

• Knowledge and Technical skills include:
• Strong experience in Financial Services’ Compliance (Professional qualification appreciated)
• Robust experience/ understanding of or quick capacity to learn on Systems, Digital projects and Artificial Intelligence
• Experience within Functions (e.g IT, RISK) appreciated. Good knowledge of 360 is a plus.
• Knowledge and experience of providing advice to functional areas or a business line.
• Good general knowledge of Regulatory requirements and Compliance policies and procedures to support including on complex questions.
• Capacity to manage change and innovation.
• Excellent analytical skills with the ability to translate technical concepts and provide specialist guidance and advice to others.
• Experience of designing and delivering face-to-face training.
• Excellent written and oral English skills to articulate technical issues and effectively communicate with individuals across the business.
• Computer literacy and a good understanding of relevant specialist Compliance software.
• Proficiency on Microsoft 365 pack including on PPT and Excel (intermediate level required)
• Soft skills expected will require capacity to lead, influence, problem solving as well as critical thinking for the check and challenge.
• Ability to deliver change / Result driven mindset.
• Ability to manage, facilitate a meeting, seminar, training,
• Ability to manages relationships with key stakeholders across the business, as well as acting as a team leader to members of the business unit.
  And of course, we expect all our colleagues to embody and practice the Group values (alignment with the Bank’s strategy, commitment, work ethic, integrity and Code of Conduct).

JOB PURPOSE

To provide Compliance advice, support and oversight to the BNP Paribas CIB Corporate Functions in adhering to applicable regulations and internal policies as well as supporting in assessing and mitigating compliance risks including in the context of BL and Functions Third party risk management as well as in Digital and Innovation projects.

KEY RESPONSIBILITIES

• Acting as a senior Compliance Advisor guiding and supporting London Branch Functions on Compliance risks, Compliance mitigants, conditions or actions in relation to regulations, policies and procedures on Functions owned governances or processes (mainly ITO) impacting UK CIB activities.
• Lead on Compliance risk assessment reviews of digital innovation and technology projects impacting the London branch.
• Support autonomously the London Branch Functions in key processes and governances where Compliance is required to provide “Checks and Challenge”; such as RCSAs, Incidents management, regulatory notifications or reports submission as well as ensuring awareness on Compliance related policies and regulatory developments impacting London Branch Functions,
• Support Functions and BLs in a solution-oriented manner/as an enabler where projects require complex advice considering Compliance constraints with Business/functions needs, will be involved in the engagement with the Local Functions’ Governance /committees (e.g ITO Committees, LB Outsourcing committees, LB Resilience Committees) and where / when necessary, challenge and contribute by providing Compliance related updates valuable for the function and coordinating effectively with Compliance CIB and/or Central stakeholders,
• Support UK Compliance Function COO Office with Compliance advisory expertise on TPRM and Digital/AI related projects/BAU as they apply to the UK Compliance Function, ensuring that UK regulatory specificities/constraints are articulated in an efficient and smooth way with Group and or CIB requirements.
• Produce and or review of Compliance reporting and MI for governance and control Committees as required.
• Drive an awareness of Compliance regulatory requirements and conduct risk within the Functions, including Compliance risks related to Technology, Cyber security and Operational Resilience.
• Design and deliver targeted, bespoke, topical training sessions on relevant rules, regulations, or best practices.
• Assist the Head of Functions Compliance conducting regulatory gap analysis and risk assessments to identify any material weaknesses, or control gaps; developing recommendations to remediate, and ensuring changes are executed in efficient, effective and timely manner.
• Support the rollout of new or updated policies, procedures and controls.
• Provide in real time, decisions and judgements relating to queries raised in line with the compliance advisory in decision making process.
• Ensure intervention on own initiative when necessary. Ensure escalation or referral of issues and problems in a speedy and efficient manner with own opinion provided when possible.
• Display confidence and autonomy and maturity when interacting with Function or business stakeholders including management and acts in a solutions-oriented manner/enabler where required.
• Develop and maintain positive working relationship with other CIB or Central Compliance counterparts to ensure consistency and a collaborative approach in the opinions provided still taking into account UK specificities.
• When necessary, support autonomously on Compliance related investigations upon ad-hoc request of Compliance management.