Manager - Compliance Officer

1 day ago

Bengaluru, Karnataka, India BNP Paribas Full time ₹ 6,00,000 - ₹ 18,00,000 per year

Position Purpose

  • 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 / mtiers / 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

Technical & Behavioral Competencies

  • 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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