Transaction Reporting Compliance Officer

3 weeks ago

London, United Kingdom BNP Paribas Full time

**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.**

**Business Area/Dept Overview**

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.

**TRANSACTION REPORTING PRACTICE**:
This team sits within Compliance CIB and reports to the Global Head of Financial Markets Compliance as this is where the majority of the Transaction Reporting business activity resides. The team is split across London and Paris and is being grown to provide effective coverage of this complex topic.

**FINANCIAL MARKETS COMPLIANCE**:
Financial Markets Compliance is a global team and part of Compliance CIB. This team provides 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

**JOB PURPOSE**:
This role, based in London, will be responsible for covering post-trade Transaction Reporting. This will be part of the Transaction Reporting Practice, a team split across London and Paris, providing Compliance support to Front office and Compliance teams across CIB and the Group, with a strong focus on Global Markets, on all matters relating to Transaction Reporting.

Topics will include providing advice on the latest regulations (both global and local); input and opinions into Business approval committees (TAC/NAC etc); participation in the bank-wide remediation programme; interaction with regulators and; dealing with a large number of stakeholders across the bank (IT and Operations, Internal Audit, Senior Management in Compliance and the Business).

**Key Responsibilities**
- Provide Compliance advice on all matters relating to Transaction Reporting including:

- Input & opinions to Business Approval Committees (TAC/NAC etc)
- Support for ongoing remediation programmes and incidents
- Regulatory change management
- Engagement with Regulators as required (FCA, AMF etc)
- Business As Usual (BAU) queries on transaction reporting requirements and regulations
- Produce detailed and high quality output (ie reports, training material, policies/procedures)
- Provide 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
- 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
- Manage confidential and sensitive information
- Provide management information and reports within the timeframe requested

**The Requirements**
- Technical and practical knowledge/experience of Transaction Reporting topics
- Good knowledge of the key regulations pertaining to Transaction Reporting (ie MIFIR, EMIR, SFTR)
- Excellent presentation skills (both written and verbal) and experience of dealing with Senior stakeholders
- Sound knowledge of products and market

  • Compliance Officer

    2 hours ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata reports and...

  • Compliance Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata reports and...

  • Compliance Officer

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a rapidly growing boutique investment banking firm providing financial services to a range of clients. **THE RESPONSIBILITIES**: - Conducting financial crime and regulatory compliance monitoring in accordance with the firm’s Annual Monitoring Plan (AMP) and Compliance Monitoring Plan (CMP); - Conducting surveillance...

  • Legal Risk and Compliance Officer

    2 hours ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Implement and carry out the Compliance Monitoring programme, including checks...

  • Transaction Manager

    3 weeks ago

    London, United Kingdom Interim Automotive | Interim Transaction and Sales Managers Full time

    Job Description Interim Automotive | Transaction Manager Interim Automotive, a reputable company in the automotive industry, is currently seeking experienced and dedicated Interim Automotive Transaction Managers. This role is crucial for maintaining consistent performance and meeting business objectives in the absence of in-house managers. As an Interim...

  • Transaction Manager

    5 hours ago

    London, United Kingdom Interim Automotive | Interim Transaction and Sales Managers Full time

    Job Description Interim Automotive | Transaction Manager Interim Automotive, a reputable company in the automotive industry, is currently seeking experienced and dedicated Interim Automotive Transaction Managers. This role is crucial for maintaining consistent performance and meeting business objectives in the absence of in-house managers. As an Interim...

  • Regulatory Transaction Reporting Officer

    1 month ago

    London, United Kingdom PICTET Full time

    **Your team**: - The Pictet Group is one of the world’s leading independent wealth and asset managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented in 27 offices in financial centres worldwide, currently employing over 4300 people. Pictet has been present in London since 1990, and employs near 400 people.- Pictet...

  • Compliance Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Financial Crime - The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and robust. They will assume day to day responsibility for the AML process including client onboarding, ongoing due diligence, client screening, risk assessments, policies and procedures. They will be heavily involved in the delivery of the...

  • Compliance Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Financial Crime – The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and robust. They will assume day to day responsibility for the AML process including client onboarding, ongoing due diligence, client screening, risk assessments, policies and procedures. They will be heavily involved in the delivery of the...

  • Transaction Reporting Analyst

    1 month ago

    London, United Kingdom eFinancialCareers Full time

    **The Company** Our client is an established Investment Management firm. **The Role** The Transaction Reporting Analyst will work closely with the Investment Management Front Office and Middle Office. The Transaction Reporting Analyst be an analytical individual, interacting with professional advisers and systems specialists to review Operational...

  • Compliance Officer- Generalist

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Compliance Officer- Generalist (3 months temp) THE COMPANY: Our client is a well regarded corporate bank offering a variety of deposit and lending products, as well as treasury and foreign exchange services. THE RESPONSIBILITIES: Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry...

  • Compliance Officer- Generalist

    4 hours ago

    London, United Kingdom Compliance Professionals Full time

    Compliance Officer- Generalist (3 months temp) THE COMPANY: Our client is a well regarded corporate bank offering a variety of deposit and lending products, as well as treasury and foreign exchange services. THE RESPONSIBILITIES: Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry...

  • Risk & Compliance Officer

    3 days ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: We are working with a retail and wholesale bank based in the Westend in their search for a Risk & Compliance Officer to join the team. **THE RESPONSIBILITIES**: - Report any deficiencies in the Bank’s policies or practices in relation to Compliance to the Compliance Manager and where applicable to the Head of Department. - Analyse and...

  • Transaction Reporting Business Analyst

    2 weeks ago

    London, United Kingdom Trevose Partners Full time

    Transaction Reporting Business Analyst (MiFID & EMIR/SFTR) Global Hedge Fund We are looking for experienced Transaction Reporting Business Analysts to join our client's Transaction Reporting team. One role will primarily focus on MiFID transaction reporting, while the other will concentrate on EMIR/SFTR reporting. Both positions require meticulous attention...

  • Senior Transaction Reporting Analyst

    3 days ago

    London, United Kingdom Trading 212 Ltd Full time

    This job is brought to you by Jobs/Redefined, the UK's leading over-50s age inclusive jobs board. Our mission is to enable everyone to build wealth We reinvent how trading and investing work by creating exceptional products people love. Fostering a culture of excellence and high velocity is the key to our success. Over the past few years, our client...

  • Risk & Compliance Officer

    3 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with a retail and wholesale bank based in the Westend in their search for a Risk & Compliance Officer to join the team. THE RESPONSIBILITIES: Report any deficiencies in the Bank’s policies or practices in relation to Compliance to the Compliance Manager and where applicable to the Head of Department. Analyse and keep...

  • Transaction Reporting Specialist

    1 day ago

    London, United Kingdom Aldermore Bank PLC Full time

    **Let us tell you a bit about us** We’re Aldermore - the award-winning bank, trusted and highly rated by over a quarter of a million customers for more than a decade. With our range of specialist mortgages, savings accounts and business finance solutions, we're backing more people to go for it. We thrive by saying “yes” to our customers. We respect...

  • Transaction Reporting Specialist

    2 days ago

    London, United Kingdom Aldermore Bank PLC Full time

    Let us tell you a bit about usWe’re Aldermore – the award-winning bank, trusted and highly rated by over a quarter of a million customers for more than a decade. With our range of specialist mortgages, savings accounts and business finance solutions, we're backing more people to go for it.We thrive by saying “yes” to our customers. We respect the...

  • Transaction Reporting Specialist

    1 month ago

    London, United Kingdom capital.com Full time

    We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talent team. Are you passionate about...

  • Trade & Transaction Reporting SME

    1 month ago

    London, United Kingdom BGC Group Full time

    Main purpose of the role: This role will be reporting into the Global Head of Trade & Transaction Reporting. The Regulatory Reporting SME will also be responsible for supporting the Head and Deputy Head of Trade and Transaction Reporting, in ensuring that the Firm is meeting all its reporting obligations. Key responsibilities: Stakeholder...