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Compliance Manager, Functions Advisory – Vice President

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BNP Paribas

12d ago

  • Job
    Full-time
    Senior & Expert Level
  • Legal
  • Glasgow

AI generated summary

  • You need strong Compliance experience, knowledge of digital projects, analytical skills, training delivery, stakeholder management, and proficiency in Microsoft 365. Lead change and communicate effectively.
  • You will advise on Compliance risks, conduct assessments, support governance processes, deliver training, analyze gaps, enhance policies, and maintain stakeholder relationships while ensuring regulatory adherence.

Requirements

  • Strong experience in Financial Services’ Compliance (Professional qualification appreciated)
  • Robust experience/ understanding of or quick capacity to learn on Systems, Digital projects and Artificial Intelligence
  • Experience within Functions (e.g IT, RISK) appreciated. Good knowledge of 360 is a plus.
  • Knowledge and experience of providing advice to functional areas or a business line.
  • Good general knowledge of Regulatory requirements and Compliance policies and procedures to support including on complex questions.
  • Capacity to manage change and innovation.
  • Excellent analytical skills with the ability to translate technical concepts and provide specialist guidance and advice to others.
  • Experience of designing and delivering face-to-face training.
  • Excellent written and oral English skills to articulate technical issues and effectively communicate with individuals across the business.
  • Computer literacy and a good understanding of relevant specialist Compliance software.
  • Proficiency on Microsoft 365 pack including on PPT and Excel (intermediate level required)
  • Soft skills expected will require capacity to lead, influence, problem solving as well as critical thinking for the check and challenge.
  • Ability to deliver change / Result driven mindset.
  • Ability to manage, facilitate a meeting, seminar, training,
  • Ability to manages relationships with key stakeholders across the business, as well as acting as a team leader to members of the business unit.

Responsibilities

  • Acting as a senior Compliance Advisor guiding and supporting London Branch Functions on Compliance risks, Compliance mitigants, conditions or actions in relation to regulations, policies and procedures on Functions owned governances or processes (mainly ITO) impacting UK CIB activities.
  • Lead on Compliance risk assessment reviews of digital innovation and technology projects impacting the London branch.
  • Support autonomously the London Branch Functions in key processes and governances where Compliance is required to provide "Checks and Challenge"; such as RCSAs, Incidents management, regulatory notifications or reports submission as well as ensuring awareness on Compliance related policies and regulatory developments impacting London Branch Functions,
  • Support Functions and BLs in a solution-oriented manner/as an enabler where projects require complex advice considering Compliance constraints with Business/functions needs, will be involved in the engagement with the Local Functions' Governance /committees (e.g ITO Committees, LB Outsourcing committees, LB Resilience Committees) and where / when necessary, challenge and contribute by providing Compliance related updates valuable for the function and coordinating effectively with Compliance CIB and/or Central stakeholders,
  • Support UK Compliance Function COO Office with Compliance advisory expertise on TPRM and Digital/AI related projects/BAU as they apply to the UK Compliance Function, ensuring that UK regulatory specificities/constraints are articulated in an efficient and smooth way with Group and or CIB requirements.
  • Produce and or review of Compliance reporting and MI for governance and control Committees as required.
  • Drive an awareness of Compliance regulatory requirements and conduct risk within the Functions, including Compliance risks related to Technology, Cyber security and Operational Resilience.
  • Design and deliver targeted, bespoke, topical training sessions on relevant rules, regulations, or best practices.
  • Assist the Head of Functions Compliance conducting regulatory gap analysis and risk assessments to identify any material weaknesses, or control gaps; developing recommendations to remediate, and ensuring changes are executed in efficient, effective and timely manner.
  • Support the rollout of new or updated policies, procedures and controls.
  • Provide in real time, decisions and judgements relating to queries raised in line with the compliance advisory in decision making process.
  • Ensure intervention on own initiative when necessary. Ensure escalation or referral of issues and problems in a speedy and efficient manner with own opinion provided when possible.
  • Display confidence and autonomy and maturity when interacting with Function or business stakeholders including management and acts in a solutions-oriented manner/enabler where required.
  • Develop and maintain positive working relationship with other CIB or Central Compliance counterparts to ensure consistency and a collaborative approach in the opinions provided still taking into account UK specificities.
  • When necessary, support autonomously on Compliance related investigations upon ad-hoc request of Compliance management.

FAQs

What is the main purpose of the Compliance Manager, Functions Advisory role?

The main purpose of the Compliance Manager, Functions Advisory role is to provide compliance advice, support, and oversight to BNP Paribas CIB Corporate Functions to ensure adherence to applicable regulations and internal policies, while also assessing and mitigating compliance risks, particularly in the context of Third Party Risk Management and Digital and Innovation projects.

What qualifications are required for this position?

Candidates should have strong experience in Financial Services Compliance, preferably with a professional qualification, and a robust understanding of systems, digital projects, and artificial intelligence. Experience within Functions, such as IT or Risk, and knowledge of regulatory requirements and compliance policies is also appreciated.

What are some key responsibilities of the Compliance Manager?

Key responsibilities include acting as a senior compliance advisor for London Branch Functions, leading compliance risk assessments for digital initiatives, providing training on relevant regulations, supporting governance processes, and producing compliance reporting for control committees.

How does the company support employee development?

The company supports employee development through comprehensive training offerings, talent programmes, mentoring, career days, and in-house career tools, emphasizing internal progression, with nearly half of UK CIB positions filled internally in 2023.

What benefits does the company offer?

The company offers generous holiday allowances, a 12% non-contributory pension plan, extensive wellbeing and mental health services, subsidised gym memberships, and various flexible benefits, including options for personal development and care for dependants.

Are there opportunities for volunteering within the company?

Yes, the company encourages volunteering, offering four days per year for employees to engage in volunteer activities, contributing to over 18,000 hours in 2023 across the UK.

What does the employer promise regarding workplace culture?

The employer promises to be a great place to work, committed to sustainability and positive impact, while also being dedicated to the development of its people.

Are there any adjustments available for candidates during the recruitment process?

Yes, the company is committed to providing support for candidates with disabilities or health conditions, encouraging them to request adjustments or additional support as early as possible in the recruitment process.

What specific compliance areas will the Compliance Manager focus on?

The Compliance Manager will focus on compliance related to Market Integrity, Protection of Clients Interests, Professional Ethics, Third Party Risk Management, Digital and Innovation initiatives, Technology, Cybersecurity, and Operational Resilience.

Is experience in delivering training sessions expected for this role?

Yes, experience in designing and delivering face-to-face training sessions on relevant rules, regulations, or best practices is required for this role.

BNP Paribas

The bank for a changing world

Finance
Industry
10,001+
Employees
1848
Founded Year

Mission & Purpose

more than 190,000 employees, including more than 145,000 in Europe. BNP Paribas holds leading positions in its three major operating divisions: ⚆ Commercial, Personal Banking & Services for all the Group’s retail banking networks and several specialised businesses, including BNP Paribas Personal Finance and Arval; ⚆ Investment & Protection Services for savings, investment and protection solutions; ⚆ Corporate & Institutional Banking, which is focused on corporate and institutional clients. The Group helps all its clients (individuals, community associations, entrepreneurs, SMEs, corporates and institutional clients) to realise their projects through solutions spanning financing, investment, savings and protection insurance. In Europe, the Group has four domestic markets (Belgium, France, Italy and Luxembourg) and BNP Paribas Personal Finance is the European leader in consumer lending. BNP Paribas is rolling out its integrated retail-banking model in Mediterranean countries, in Turkey, in Eastern Europe and a large network in the western part of the United States. In its Corporate & Institutional Banking and Investment & Protection Services activities, BNP Paribas also enjoys top positions in Europe, a strong presence in the Americas as well as a solid and fast-growing business in Asia-Pacific.