Compliance Monitoring Officer

2 weeks ago

London, United Kingdom BNP Paribas Full time

**BNP PARIBAS ASSET MANAGEMENT (‘BNPP AM) IS THE INVESTMENT ARM OF BNP PARIBAS, A LEADING BANKING GROUP IN EUROPE WITH INTERNATIONAL REACH. AT BNPP AM, WE AIM TO GENERATE LONG-TERM SUSTAINABLE INVESTMENT RETURNS FOR OUR CLIENTS, BASED ON A UNIQUE SUSTAINABILITY-DRIVEN PHILOSOPHY. THIS PHILOSOPHY HAS SHAPED OUR FIRM AND DIRECTS ALL WE DO: OUR STRATEGY, OUR CULTURE, OUR STRUCTURE, OUR PRODUCTS AND OUR PROCESSES; THE WAY WE ENGAGE WITH OUR CLIENTS AND OUR ROLE IN INFLUENCING THE COMPANIES AND THE MARKETS WE INVEST IN.**:
**Role Description and purpose**

To provide the firm with all the necessary information, guidance, advice and documentation to help ensuring compliance with FCA and other regulatory) and/or group requirements as determined by the Head of UK Compliance.

**Compliance Monitoring**:Perform Independent testing of first line controls, Compliance Group Control Plan (GCP), desk-based monitoring and thematic reviews on all the firm’s activities.

**Regulatory Implementation**: To participate in the analysis and implementation of new regulations impacting the firm.

**General Support to the Compliance Department**: To provide ongoing assistance to the Compliance team on day-to-day business queries, regulatory implementation, ad-hoc projects as directed by the Senior Compliance Officer. Produce Management Information for Compliance, the group and local governance committees on a monthly basis and as required.

**Policies, Procedures and processes**:Participate in the collective team effort to ensure that the Compliance Manual and the compliance policies, procedures and processes be up-to-date and reviewed on an annual basis.

**key responsibilities**

**Monitoring Compliance**:

- Completion of Independent testing, GCPs, thematic reviews and desk-based monitoring as per the yearly Compliance Monitoring plan on a timely basis, in accordance with the methodology.
- Assist with the update and development of the annual Compliance Monitoring plan.
- Meet with the representatives of the business areas to which the topic under monitoring relates to.
- Planning, executing and reporting the findings of the monitoring activities to the Senior Compliance Officer.
- Drafting reports, present findings and recommendations to the business.
- Track completion of recommendations raised.
- Maintaining accurate and complete records of monitored activities.
- Participate in the production of Management Information (“MI”) on a monthly basis, or at any other frequency as required.
- Participate in the Risk Management Framework of the firm on an annual basis or at the request of the BNP Paribas Group; not limited to, the Risk and Control Self-Assessment (RCSA); the Risk Taxonomy, the Risk Register etc.
- Liaise with the Compliance Domains in Paris and the business in order to provide feedback/advice based on gaps identified from the monitoring performed.

**Front Office and Market Integrity**
- Compliance contact for the Front Office business, including regular meetings with stakeholders.
- Compliance contact for Market Integrity domain including regular meetings with MI Domain Paris, new regulation, policies and procedures and new initiatives etc.
- Compliance contact on best execution, wall crossing, disclosures (short selling, holding disclosure, Takeover Panel, MiFID II reporting etc) and other Market Integrity topics.
- Horizon scanning of new EU and UK regulations that could impact the firm; and participating in UK and Group led projects.
- Provide analysis on the applicability and impact of new EU and UK regulations to the firm.

**ROLE REQUIREMENTS**:
**Essential skills/competencies**
- Knowledge of the FCA Handbook with particular emphasis on the COBS, SYSC and SUP Sourcebooks.
- Knowledge of the European Directives, including MiFID II.
- Good communication skills to deal with various stakeholders and senior management.
- Good written skills including ability to cogently present concepts and ideas.
- Analytical/Problem solving skills and ability to document overall thinking.
- Excellent time management in order to prioritise workload and conflicts.
- Good ability to work independently.
- A desire to work co-operatively with others to maximize effectiveness within the Compliance team and across the international network and matrix organisation.
- Shows high level of self-awareness, understands impact of own behaviour on others, and upholds the highest standards of company values/ practice.
- Motivated self-starter. Proactive

**Conduct**
- Be a role model, supporting and fostering a culture of good conduct
- Demonstrate proactivity, transparency and accountability for identifying and managing conduct risks
- Consider the implications of your actions on colleagues, partners and clients before making decisions and escalate issues to your manager when unsure

**Essential qualifications & experience**
- Previous experience in a Compliance team environment at an asset management/investment firm
- Proficiency in al

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