Compliance Manager, Functions Advisory Vice President

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Company purpose:

Our company purpose is to contribute to a responsible and sustainable economy by financing and advising clients according to the highest ethical standards.

Our employer promise is built around three pillars:

• Being a great place to work

• Committed to sustainability and having a positive impact

• Being dedicated to the development of our people

Business area

CIB UK Compliance is an independent function responsible for providing specialist advice and support to UK Senior Management, business lines and functions in assessing compliance related regulatory requirements and adhering to internal policies and controls as well as with external rules and managing compliance risks.

The function typically acts as a second line of defence covering areas including controls, assurance, monitoring, professional ethics, training & competence, market integrity and protections of clients, whistleblowing, anti-money laundering & combating the financing over terrorise (AML/CFT).

The Private Side, Control Room, CIB2S & Functions team provides compliance oversight, support and advisory in the UK to the Private Side businesses, Functions Advisory, and Securities Service advisory.

Functions Compliance Advisory's supports BNPP London Functions with:

• Providing compliance advice on Market Integrity, Protection of Clients Interests, Professional Ethics risks related to their activities.

• Business Lines and Functions compliance risks related to Third Party Risk Management, Digital and Innovation initiatives.

• Providing training to London Branch's Function staff on relevant regulations and Compliance policies and policies

• Occasionally supporting investigations of suspected breaches of laws, regulations and standards

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.

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).

A bit more about why you should join us

1. We're a great place to work

We aim for optimal work/life balance (depending on role, this includes hybrid working, flexible working and agile)

We are proud of our award-winning flexible benefits and health & wellbeing strategy. Our flexible benefits include:

• Generous holiday allowance of at least 26 days (plus bank holidays) with option to buy and sell holidays.

• Valuable financial plans a 12% non-contributory pension which has been moved to sustainable investments*, life assurance*, income protection and personal accident insurance.

• Extensive wellbeing and mental health offering one of the most advanced private medical schemes in the UK, dental cover, wellbeing app, Cognitive Behavioural Therapy support, subsidised gym memberships, bespoke health assessments including genetic testing, Private GP (including digital GP services to parents of employees), Employee Assistance Programme, menopause & fertility support (we are an accredited Menopause Friendly Employer), neurodiversity assessment and support.

• Key onsite services and facilities in London include physiotherapy, nutrition, massage therapy, physiology, mental health first aiders, seasonal flu vaccinations and free onsite fitness centre.

• Plus, emergency back-up care for dependants, green car leasing, season ticket loan, and a range of other benefits.

* Subject to relevant caps

2. As the eurozone's largest bank, we are committed to having a positive impact in the world.

For example, we are committed to Net Zero in all of our financing and investment portfolios by 2050. By 2030, 80% of our energy production financing will be low carbon.

But impact for us means more than climate. It means empowering our people every day. Everyone gets four volunteering days each year - in 2023, we achieved over 18,000 hours of volunteering across the UK and reaching over 4,500 young people.

3. We believe in our people

We support our people to develop skills to adapt to the ever-evolving world of work and to prepare for the jobs of today and tomorrow. We do this through a comprehensive training offering, talent programmes, mentoring, career days and inhouse career tools.

We are proud of the number of our people who progress and secure new roles internally. In fact, in 2023, nearly half of our positions in UK CIB were filled internally.

Investing in our people also means we have a collaborative and inclusive culture:

• Direct feedback from our people shows that our internal culture sets us apart from our industry peers.

• Each year, nearly 30,000 employees globally are involved in professional networks that play an active role in promoting Diversity and Inclusion within the Group. These include our:

Pride Network, Ability Network (which supports disabled employees), MixCity (gender equality network), Women in Global Markets, Women in Global Banking, Women in IT, Diversity Equity & Inclusion in Technology, Early Careers Network, Multicultural Network and Parents & Carers Network.

Equal opportunities

BNP Paribas is committed to providing a work environment that fosters diversity, inclusion, and equal employment opportunity without regard to age, disability, gender reassignment, marriage or civil partnership status, pregnancy and maternity, race, religion or belief, sex or sexual orientation, or any other legally protected status.

Adjustments

We don't want anyone to be disadvantaged in our recruitment processes, so if you have a disability or health condition which may mean that you'd benefit from some adjustments or additional support, please let us know as early in the process as possible.

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