Compliance Officer

COMPLIANCE OFFICER - COMPLIANCE REVIEWS (JOB NUMBER: 25693)

**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 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 UK Compliance Assurance team within CIB UK Compliance supports all the key global Compliance domains, working transversally to conduct 2nd level of defence independent testing and reviews across CIB UK.

This is a transversal role and Compliance reviews may relate to all CIB UK businesses and functions including outsourced activities or, when directed, to other UK territory businesses.

Compliance reviewers in the Compliance Reviews Team (CRT) are responsible for carrying out assigned Compliance reviews according to the Compliance Reviews Plan, predominantly for CIB UK businesses and functions.

**The Responsibilities**

Primary CRT Responsibilities
- Complete the allocated program of risk-based thematic, transversal, targeted and (only if instructed) desk focused Compliance reviews primarily across BNP Paribas’ UK CIB activities as set out in the Compliance Review Plan.
- These reviews encompass a planning/research process, announcement, collection and review of materials, liaison with relevant business staff and the carrying out of sampling/testing.
- Maintain appropriate records and work papers detailing the review work undertaken.
- Prepare a detailed report concluding the work done during the review outlining key findings and agreed remediating actions. Liaise with all necessary key stakeholders to achieve mutual agreement of any recommendations raised during the review with allocated assignees.
- Escalate significant issues and challenges identified during a review promptly to line management, with proposed solutions where possible.
- Assist as required in chasing and tracking any Compliance recommendations raised through to completion and in reviewing and evaluating evidence submitted for closure.
- When directed, perform reviews across a wider scope (e.g. EMEA or UK territory).
- When directed, and in liaison with the Compliance Controls team, undertake testing of compliance controls relevant to each in scope Assessment Unit via the review process.
- Assist in the Compliance Risk Assessment process as required of the bank’s CIB UK activities.
- Assist in Compliance MI reporting as required, providing contributions in good time.
- Close co-operation with colleagues across Compliance Assurance and across the Compliance department in order to share relevant information and avoid silos or duplication.
- Liaise effectively with stakeholders in the Business, RISK ORC, Inspection Generale and other functions.

Additional Responsibilities
- Support the Head of Assurance and the Head of Compliance Reviews generally as required.
- Contribute to the planning process for the annual Compliance Review Plan as required.
- Assist with other regular or ad hoc projects carried out by the Compliance Assurance team and the wider Compliance team as required (if mandated by the Head of Assurance or the Head of Compliance Reviews).
- Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to, the London Compliance manual and Compliance policies and procedures as issued from time to time; Financial Crime Prevention requirements, including, but not limited to, the prevention of Financial Crime and Fraud including reporting obligations to the Money Laundering Reporting Officer.
- Maintain appropriate knowledge to ensure to be fully qualified to undertake the role. Complete all mandatory training as required to attain and maintain competence.
**Skills & Experience Required**
- Ability to work independently and as part of a team and to operate with a moderate degree of autonomy;
- Ability to operate as a sole reviewer with managerial supervision;
- Good technical knowledge of banking and compliance;
- Ability to perform additional research and analysis of key regulatory topics;
- Ability to help design effective risk based testing in a review;
- Ability to retain and explain detailed information from a review, ability to influence;
- Ability to stand ground if challenged and to work consistently and co