BNP Paribas Hiring For at Bangalore, Karnātaka Full Time

·       Implementing Code of Conduct key requirements, BNP Paribas policies and local regulations by taking into account the specificities and regulations applicable to the Territory.

·       Ensuring relevant controls are set up and implemented and the commitments for insourced services are carried out in accordance with terms of SLAs.

·       Ensuring regulatory commitments given for offshoring activities are adhered to.

·       Contributing to the definition and implementation of appropriate measures to manage compliance risks

Direct Responsibilities

        I.            Roll out and monitor adherence to Compliance Policies

§  Manage Professional Ethics (PE) related activities and controls

§  Ensure adherence to existing Compliance Policies including Personal Account Dealing (PAD) Policy, Gifts & Invitations Policy, Outside Business Interest Policy, Professional Code of Conduct Policy, Anti Bribery and Corruption Policy

§  Review new policies rolled out and implement the same for ISPL, as applicable / appropriate

§  Manage Financial Security (FS) related activities and controls over clients, vendors, employees and operational aspects

      II.            Review of Transition related documents

§  Review Service Level Agreements (SLA), Activity Review Process (ARP) and Risk Assessment (RA) documents from service provider Compliance perspective

§  Interact with the service recipient Compliance team and seek their views / opinions / conditions and ensure all requirements are implemented and managed adequately

§  Maintain repository of transition related Compliance approvals

    III.            Compliance Trainings

§  Conduct and facilitate compliance trainings (mandatory and targeted) for ISPL staff

§  Regularly communicate policies and major changes / highlights through various channels

    IV.            Ensure deployment of robust control framework

§  Rolling out and performing controls based on service recipient compliance/regulatory requirements for offshored activities (e.g. voice recording, Chinese Wall, etc.) and also local requirements and analyzing results of the same to identify and mitigate the relevant risks

§  Coordinate on compliance related incidents and ensure appropriate action plans are put in place

§  Perform regular compliance check and challenge on RCSAs and control plan gap analysis to ensure applicable risks are identified and suitable mitigating controls are in place/proposed

• Review queries on outsourcing and technical assessments from compliance perspective

      V.            Reporting

§  Preparation of various MIS, dashboards and other compliance reports

Contributing Responsibilities

§  Coordination with various departments / métiers / functions / countries

§  Communication across all levels to ensure management directions including group guidelines are understood

§  Organization & co-ordination of compliance-related awareness-raising and training action

§  Participating in new compliance projects and initiatives

§  Contributing to preparation of compliance decks in various committees and forums

§  General knowledge of Capital Markets and sound understanding of Financial Security matters

§  Prior Compliance, Audit, Risk, Inspection or Permanent Control experience will be a considerable plus

§  Experience of working in international banking business structure

§  Strong English communication skills

§  Stakeholder management skills

§  Self-motivated and result oriented, with the ability to identify & solve issues and work under pressure