Compliance Officer

3 weeks ago

Glasgow, 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.**

The CIB London Branch Financial Security Team (FST) has oversight responsibilities for areas including anti-money laundering (including PEPs and other high risk clients), sanctions & embargoes and anti-bribery and corruption. The FST is led by and reports to the Head of UK Financial Security, who is also the UK Money Laundering Reporting Officer (MLRO) and “Senior Manager Function 17” under the Senior Manager regime set by the UK Regulator, the Financial Conduct Authority. Two Deputy MLROs report to the MLRO, each with responsibility for one of three areas - Advisory, AML Surveillance and ABC/tax Evasion.

The FST performs a number of functions, which include:

- Supporting and assisting senior management with adherence to applicable laws and regulations, as well as operating to high standards of business and ethical integrity;
- Interpreting applicable laws, regulations and standards and advising BNP Paribas CIB London staff;
- Providing training where appropriate to staff on a number of relevant laws, regulations and standards;
- Monitoring and reporting on BNP Paribas CIB London and staff compliance with laws, regulations and standards.

The AML Surveillance Team is specifically responsible for ensuring that the London business implements and maintains a compliant and effective systems and controls framework for AML Transaction Monitoring and Name Screening, covering Global Markets, Capital Markets, Correspondent Banking and BP2S.

**THE RESPONSIBILITIES**:

- Supporting the UK's use and oversight of the NICE Actimize TM and the SUN Fircosoft PEP and Sanctions NS technology and configuration, both led out of Paris - ensuring that UK risks, technical, legal and regulatory requirements are communicated to Paris and taken into account as necessary.
- Supporting the head of the team to ensure local & group policies, procedures and practices are implemented and maintained.
- Supporting the identification and analysis of external events and developments which are of regulatory significance, and evaluating the impacts for BNPP systems and controls.
- Supporting the work undertaken across UKFS to ensure the proactive identification and detection of AML, CTF and other financial crime-related risks.
- Supporting the head of the team and other UKFS functions in the on-going assessment of systems and controls, capabilities and arrangements.
- Supporting regular reviews of, and any relevant adjustments to, system configuration, parameters and thresholds to ensure effectiveness and efficiency.
- Providing input and support on possible enhancements to systems and controls, including the design and implementation of manual and tactical monitoring where required.
- Supporting with the creation of regular management information reporting, covering both BAU and projects that is meaningful and effective in identifying key trends, risks and issues.
- Supporting the identification, analysis, reporting and tracking of risks and issues.
- Supporting the design and oversight of risk-based remediation projects.
- Contributing to the assessment of TM and NS impacts on the introduction of new business, products and other upstream changes.
- Supporting with the oversight and Quality Assurance of the near-shored TM alert handling activity in Lisbon, and other manual/tactical monitoring performed locally, ensuring compliance with relevant Group Policies and local requirements.

**SKILLS & EXPERIENCE REQUIRED**:
**Core knowledge, skills and experience**:

- Proven experience working in a financial crime prevention environment.
- Proven experience working with AML Transaction Monitoring systems (ideally but not specifically NICE Actimize) and/or Name-screening systems (PEPs, Sanctions - ideally Fircosoft).
- An understanding of the UK AML regime (including Money Laundering Regulations 2017, FCA Financial Crime Guidance & UK Joint Money Laundering Steering Group).
- An understanding of how AML policies and procedures are structured and implemented.
- An understanding of TM investigation techniques and procedures.
- An ability to handle and interpret AML data (i.e. spreadsheets).
- An ability to make informed assessments, substantiated by appropriate information, whilst ensuring that all relevant issues have been considered and mitigated.
- An ability to communicate

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