· 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
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
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