Senior Compliance Officer

**Bank Overview**

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**

The Compliance department in London Branch (“CIB UK Compliance”) is an integrated and independent function that forms part of the Global Compliance function which is placed under the ultimate authority of the Global Head of Compliance. The Professional Ethics team within CIB UK Compliance supports one of the key global Compliance domains.

**Purpose & Scope of role**

Purpose:

- Professional Ethics is one of the key global Compliance domains. As a Senior Compliance Officer of Professional Ethics you will be a source of expertise on Compliance policies, procedures and processes relating to Personal Account Dealing, Outside Business Interests, Gifts and Entertainment, Close Personal Relationships - Conflicts of Interest Management.
- You will be responsible within CIB UK as part of a small team for the day to day activities, processes and business queries in relation to Professional Ethics, dealing with stakeholders at all levels of seniority across the bank.
- In addition to day to day activities, you will also support the Head of Professional Ethics on related projects, which may involve system development, deep dives or enhanced monitoring on particular topics.
- Work is underway to set up an offshore hub as part of the team, you will need to work closely with the offshore hub and with your onshore colleagues. You may be asked to perform some supervision or quality assurance activities over the hub.

Scope:

- UK CIB (including BPSS)

**Key Responsibilities of role**

The role reports to the Head of Professional Ethics and works closely with other team members together with other key Compliance staff, HR, IT, Legal and Business stakeholders.

Activities and deliverables comprise the following:
**Personal Account Dealing**:

- Regular and direct contact/advice with the Bank’s staff, advising them on personal account dealing requirements as per the policy
- Execute the On-boarding process of new joiners e.g. account disclosure, classifications etc.
- Complete BAU updates of classifications and any specific restrictions for movers as required with system updates
- Execute the process of account disclosure with existing staff
- Review personal account dealing requests to assess any potential or actual conflicts of interests or other issues
- Work on an ongoing basis on improvements to the PAD policy, internal procedure and the PAD system
- Provide management information and reports relevant to the personal account dealing function for both the business and compliance management
- Ensure adequate training of staff on personal account dealing issues
- Perform PAD processes as needed to meet policy and control expectations
- Provide breach and escalation information when employees have contravened the policy, following up breaches as necessary
- Perform monitoring and controls as required

**Outside Business Interests**:

- Regular and direct contact/advice with the bank's staff, advising them on Outside Business Interest (OBI) requirements as per the policy
- Execute the process of OBI disclosure with new staff and assist staff where required with updates/further disclosures in the event of material changes
- Review OBI requests to asses any potential or actual conflicts of interests or other issues
- Work on an ongoing basis on improvements to the OBI policy, internal procedure and the OBI system
- Provide management information and reports on OBI for both the business and compliance management
- Ensure adequate training of staff on OBI issues
- Perform OBI processes as needed to meet policy and control expectations
- Provide breach and escalation information when employees have contravened the policy, following up breaches as necessary
- Perform monitoring and controls as required

**Gifts and Entertainment**:

- Regular and direct contact/advice with the bank's staff, advising them on gifts and entertainment requirements as per the policy
- Work with the Events team and Compliance ABC team on planning for major events and following up post events, to ensure that ABC risks and conflicts of interest are well-managed and appropriate disclosures have been made
- Review and approve (if appropriate) any gifts and entertainments requests input into the gifts and entertainment system
- Work on an o