Senior Compliance Officer, Whistleblowing & Breaches Assistant 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 adhering to internal controls and 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 and competence, whistleblowing, money laundering, market abuse, financial security and regulatory liaison.
The Protection of Interest of Clients, Professional Ethics & Regulatory Affairs team provides a number of services and activities across the Compliance Function:
• Protection of Interest of Clients (PIC)
• Professional Ethics
• Compliance Training
• Registrations
• Regulatory Affairs
• Compliance Risk Assessment
Job purpose
Support the Whistleblowing Referents to ensure that whistleblowing cases across CIB UK are managed consistently and to the highest standards in accordance with the Whistleblowing Policy and procedure.
Support the CIB UK framework for the management and record-keeping of staff breaches.
Key responsibilities
Whistleblowing:
• Develop and maintain a close working relationship with Compliance and other colleagues on whistleblowing matters.
• Working with the named Whistleblowing Referents to ensure cases are managed in accordance with the Whistleblowing Policy and procedure, covering effective case management, record-keeping and reporting.
• Subject matter expert on whistleblowing procedures, ensuring they are implemented.
• Maintain strict confidentiality when managing whistleblowing reports.
• Act as point of contact on whistleblowing cases with Group Compliance and other stakeholders.
• Take an active role in whistleblowing investigations, working with relevant experts.
• Lead the production of management information relating to whistleblowing cases.
• Contribute to the continual improvement and review of whistleblowing policy, procedures and controls. Lead the implementation of changes.
• Contribute to the design and delivery of whistleblowing training.
Breach Management:
• Assist the Head of Compliance PIC, Professional Ethics & Regulatory Affairs on conduct breach management and record-keeping for CIB UK.
• Organise and attend Staff Breaches Working Group meetings, preparing all papers and minutes and maintain accurate records.
• Identify any repeated breaches when preparing meeting papers.
• Provide breach data and reports as required.
• Maintain the Staff Breaches Working Group procedures and Terms of Reference proposing updates as needed.
• Contribute to the continual improvement and review of staff breaches procedures and controls, taking into account initiatives at Group level. Lead the implementation of changes.
Requirements
• Prior experience in whistleblowing, investigations, and breach management/enforcement.
• Detailed knowledge of specific Compliance principles and processes in whistleblowing, investigations and breaches/enforcement.
• Good analytical skills and an ability to translate knowledge and experience into advice and recommendations.
• Good working knowledge of the UK regulatory framework and its application to banking.
• Excellent written and oral English skills in order to articulate technical issues and effectively communicate with individuals across the business.
• Strong data management skills, able to collate and manage data using Excel.
• Strong organisational skills and experience in preparing for meetings, note taking and follow up/reporting.
• Computer literacy and a good knowledge of common software e.g. Microsoft Office. Experience of relevant specialist Compliance software.
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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