Compliance Officer

2 weeks ago

London, United Kingdom BNP Paribas Full time

COMPLIANCE OFFICER - FS AML SURVEILLANCE - ASSISTANT VICE PRESIDENT (LONDON) (JOB NUMBER: 26311)

**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 en

  • Compliance Officer

    1 week 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

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a leading retail and private wealth firm *** **THE RESPONSIBILITIES**: - Undertake wide range of checks of specified system reports and/or alerts, for example, AML, deals transacted, reports on cash position, asset allocation etc. to ensure that clients and the firm is not at risk - Act as administrator for branch...

  • Compliance Officer

    6 days ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client offers a trading in prime digital assets, forex, and CFDs. By providing a interface for trading these diverse assets, our client aims to provide flexibility for traders, enabling them to navigate the dynamic global financial markets efficiently **THE RESPONSIBILITIES**: - Manage and oversight of the client onboarding process and...

  • Chief Compliance Officer

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES: Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance Undertaking a rolling compliance monitoring...

  • Compliance Officer

    7 days ago

    London, United Kingdom AJ Fox Compliance Full time

    We have an exciting opportunity to join an international law firm as a Compliance Officer. This role will be offered on a hybrid working basis in London. This role will involve supporting the team with business acceptance tasks, including conflicts searches and matter opening. You will need to be able to demonstrate knowledge of AML legislation and...

  • Junior Compliance Officer

    3 weeks ago

    London, United Kingdom AJ Fox Compliance Full time

    A leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team.This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization.Key responsibilities will include: ...

  • Junior Compliance Officer

    1 week ago

    London, United Kingdom AJ Fox Compliance Full time

    A leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team. This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization. Key responsibilities will...

  • Compliance Advisory Officer

    3 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 Officer- Assurance

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an international bank providing banking services including traditional corporate transactions, investment banking and trading. **THE RESPONSIBILITIES**: - Drafting high quality written reports to present results of monitoring and assurance work undertaken as required by the Compliance Monitoring Plan - Liaising with the...

  • 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**: - Responsible for providing Compliance Advisory support to the Business -...

  • Compliance Officer Monitoring

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

  • Compliance and Aml Officer

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global investment and wholesale banking group. **THE RESPONSIBILITIES**: - Monitoring and assessing the impact of regulatory developments in relation to AML financial crime and sanction regulation, and engage with the relevant business areas to ensure they are implemented. - Review high risk sanctions alerts referred to...

  • CHIEF COMPLIANCE OFFICER

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES: Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance Undertaking a rolling compliance monitoring programme on...

  • Compliance Officer

    3 weeks ago

    Old Street, Greater London, United Kingdom AJ Fox Compliance Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a Risk and Compliance Officer within an International law firm. In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations...

  • Compliance Officer

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: Our client is a global banking group offering commercial and retail banking, investment banking, and wealth management. THE RESPONSIBILITIES: Producing draft of policy documentation. CMP tracking, testing, monitoring and deep dives. Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. ...

  • Compliance Advisory Officer

    2 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 days 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

    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

    2 days 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

    2 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...