Financial Markets Compliance Advisory

2 months ago

London, United Kingdom BNP Paribas Full time

FINANCIAL MARKETS COMPLIANCE ADVISORY - AVP (JOB NUMBER: 25795)

**BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 73 countries, with more than 196,000 employees, including around 149,000 in Europe. The Group has key positions in its three main activities: Domestic Markets, International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises: corporate clients and institutional investors.**

**BNP Paribas Corporate and Institutional Banking is a globally recognised leader offering capital markets, securities services, financing, treasury and advisory solutions.**

Compliance is an independent Function responsible for providing specialist support to Senior Management in managing Compliance risks, typically acting as a Second Level of Defence for Compliance-owned risks, including Market Integrity, Protection of Interest of Clients, Financial Security and Professional Ethics.

Financial Markets Compliance is global team and part of Compliance CIB.

Financial Markets Compliance Advisory provide clear advice and challenge to Global Markets and ALM Treasury while reinforcing a strong Compliance Permanent Control and Risk culture. Markets Advisory provide compliance input in relation to Global Markets businesses and ensure implementation and management of relevant regulations and global policies.

There are four main themes:
**Advisory** - advising the business on Compliance topics for day to day queries, participating in relevant approval and governance committees regarding transactions, businesses or regulatory topics

**Training & Awareness** - Designing and delivering training on relevant rules and regulations applicable to the Global Markets businesses and undertaking regular induction and refresher training

**Regulatory **- Being knowledgeable about regulations that impact the business and implementing measures to ensure adherence. Providing input into policies and procedures. Interfacing with regulators

**Risk & Controls** - reviewing and challenging the business on the adequacy of risk controls, providing markets expertise in the Risk Assessment, independent testing, control plan and IG review processes

**The Responsibilities**
- Support the Transversal Projects team as required and in line with management priorities, including organising bespoke investigations, responding to regulatory requests, coordinating policy developments that require input from compliance stakeholders and the business.
- Produce detailed and high quality output (i.e. reports, project documentation, training material, policies/procedures)
- Manage confidential and sensitive information
- Provide Compliance input on ad-hoc Business or Regulatory topics
- Assist in driving Compliance topics and provide Compliance colleagues and 3LOD with Business context (Risk Assessment, Control Plan, IG reviews)
- Support the Transversal Projects Team in providing Compliance training to the Business where required and help design training on rules, regulations or best practices, in coordination with 1LOD and other Compliance teams
- Support the Transversal Projects Team to provide input into drafting of and maintenance of Compliance Policies and Procedures to guide the Business and meet regulatory requirements
- Challenge the Business and Functions on the adequacy and effectiveness of their risk controls and supervisory framework
- Develop good working relationships with the business members, ensuring they understand the rules, regulations, policies and procedures so they are able to manage their risks
- Endeavour to understand the Business strategy and identify potential risks proactively and positively to protect the bank
- Provide information and reports within the timeframe requested in order to support the Head of the Transversal Projects team in her management reporting requirements
- Provide management information and reports within the timeframe requested in order to support the Global Head of Markets Compliance in her management reporting requirements
**Skills & Experience Required**
- Strong project management experience with proven track record of delivering complex projects and ability to work across a variety of teams
- Excellent presentation skills (both written and verbal) and experience of dealing with Senior stakeholders
- Sound knowledge of products and market practices in the relevant Global Markets businesses
- First class communication skills to interact with Front Office personnel and management and project credibility
- Sound judgement and ability to deal with high pressure situations
- Ability to manage varied workloads, prioritise work and meet deadlines
- Strong analytical and presentational/communication skills (both written and verbal) and knowledge of Word, PowerPoint and Excel
- Strong team player, works collaboratively with the Markets Complia

  • Capital Markets Advisory Compliance Manager

    2 weeks ago

    London, United Kingdom NatWest Markets Full time

    Join us as a Compliance Manager in our Capital Markets Advisory teamThis role provides an opportunity to support, develop and embed the risk and control mechanisms for the business, independently overseeing and challenging the effective management of risks and controlsYou’ll provide support, advice, MI and escalation to leaders and the overall business on...

  • Capital Markets Advisory Compliance Manager

    2 weeks ago

    London, Greater London, United Kingdom NatWest Markets Full time

    Join us as a Compliance Manager in our Capital Markets Advisory teamThis role provides an opportunity to support, develop and embed the risk and control mechanisms for the business, independently overseeing and challenging the effective management of risks and controlsYou'll provide support, advice, MI and escalation to leaders and the overall business on...

  • Compliance Advisory Global Markets

    1 month ago

    London, United Kingdom BRUIN Financial Full time

    Permanent - London, **Ref**: 35041 **Job title - Compliance Advisory, Global Markets** **The role** - Design and maintain policies and procedures to address identified regulatory risks. - Plan and deliver Compliance training. - Conduct and report on compliance investigations of the business. - undertake ad-hoc assignments as required. - Advise the front...

  • Compliance Advisory Officer

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    6 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    18 hours ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    15 hours ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Find out if this opportunity is a good fit by reading all of the information that follows below.Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE...

  • Compliance Advisory Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Find out if this opportunity is a good fit by reading all of the information that follows below.Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE...

  • Compliance Advisory Officer

    2 weeks ago

    City of London, Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Find out if this opportunity is a good fit by reading all of the information that follows below. Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE...

  • Compliance Advisory Officer

    2 weeks ago

    City of London, Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Find out if this opportunity is a good fit by reading all of the information that follows below. Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE...

  • Compliance Advisory Officer

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units...

  • Compliance Advisory Officer

    1 month ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Job DescriptionTHE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to...

  • Compliance Advisory Officer

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to support Compliance...

  • Compliance Advisory Officer

    1 month ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to support Compliance...

  • Compliance Advisory Officer

    1 month ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to support Compliance...

  • Investment Compliance Advisory Specialist

    1 month ago

    London, United Kingdom BRUIN Financial Full time

    Permanent - London, **Ref**: 29701 Our client, an global investment firm, is looking for an Investment Compliance Advisory Specialist to join their team They are willing to offer £75000 /annum. **Location**: London **Industry**: Investment Management **The role**: - In this role you will be involved in providing technical advice to the first line of...