Compliance Officer, Professional Ethics

**Company purpose**:
**Our company purpose is to contribute to a responsible and sustainable economy by financing and advising clients according to the highest ethical standards.**

**Our employer promise is built around three pillars**:

- Being a great place to work
- Committed to sustainability and having a positive impact
- Being dedicated to the development of our people

**BUSINESS AREA**:
CIB UK Compliance is an independent function responsible for providing specialist advice and support to UK Senior Management, business lines and functions in adhering to internal controls and external rules and managing compliance risks.

The function typically acts as a second line of defence covering areas including: controls, assurance, monitoring, professional ethics, training and competence, whistleblowing, money laundering, market abuse, financial security and regulatory liaison.

The Protection of Interest of Clients, Professional Ethics & Regulatory Affairs team provides a number of services and activities across the Compliance Function:
Protection of Interest of Clients (PIC)

Professional Ethics

Compliance Training

Registrations

Regulatory Affairs

Compliance Risk Assessment

**JOB PURPOSE**:
Responsible within CIB UK as part of a small onshore and offshore team for supporting 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.

**KEY RESPONSIBILITIES**:
**PERSONAL ACCOUNT DEALING (PAD)**:
Advise staff on routine personal account dealing requirements and queries, appropriately escalating any complex/difficult issues.

Where required, execute the On-boarding process of new joiners e.g. account disclosure, classifications etc. and assist with completing BAU updates of classifications and any specific restrictions for movers.

Where required, execute the account disclosure and validation process with existing staff.

Review personal account dealing requests to assess any potential or actual conflicts of interests or other issues, following up as needed and recording clear decisions.

Assist with identifying improvements to the PAD policy, internal procedure and the PAD system

Assist with providing management information and reports.

Assist with delivering training to staff and performing monitoring/controls.

Provide breach and escalation information, following up breaches as necessary.

**OUTSIDE BUSINESS INTERESTS (OBI)**:

- Advise staff on routine OBI requirements and queries, appropriately escalating any complex/difficult

issues.

Where required, execute the OBI process for new joiners.

Assist with reviewing staff declarations and assessing any potential conflicts, following up as needed and recording clear decisions.

Assist with identifying improvements to the OBI policy, internal procedure and the OBI system

Assist with providing management information and reports.

Assist with delivering training to staff and performing monitoring/controls.

Provide breach and escalation information, following up breaches as necessary.

**GIFTS AND INVITATIONS (G&I)**:
Advise staff on routine G&I requirements and queries, appropriately escalating any complex/difficult issues.

Work with key stakeholders such as the Events team and Compliance Anti-Bribery & Corruption team to help to ensure that ABC risks and conflicts of interest are well-managed and communicated and that appropriate disclosures have been made.

Review and approve (if appropriate) any gifts and entertainments requests input into the G&I system, following up as needed and recording clear decisions.

Assist with identifying improvements to the G&I policy, internal procedure and the G&I system

Assist with providing management information and reports.

Assist with delivering training to staff and performing monitoring/controls.

Provide breach and escalation information, following up breaches as necessary.

**PERSONAL RELATIONSHIPS AND CONFLICTS OF INTEREST**:
Advise staff on routine personal relationships and conflict of interest requirements and queries, appropriately escalating any complex/difficult issues.

Assist with reviewing staff declarations and assessing any potential conflicts, following up as needed and recording clear decisions.

Assist with providing management information and reports.

Assist with performing related processes including training, monitoring/controls.

**SYSTEM AND PROCESS ENHANCEMENT**:
Contribute to change initiatives and projects relating to PE systems and processes including automation and PowerBI

Assist with identifying improvements and implementing enhanced approaches, with the emphasis on streamlining processes.

Assist with identifying areas where local specificities are needed in design and implementation of Group systems to meet local best practices and regulatory requirements and follow these up.

Assist with preparations for and management of audit assignments.

**Breach Management**

Follow