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BNP Paribas Cardif is hiring Compliance Manager
University degree is compulsory. As there is not a degree on Compliance, the most appropriate degrees are Law, Business Administration or Economics.
5Y of experience in a similar position which means Compliance experience in Financial sector - Insurance is the most preferred option, but Banking, companies providing financial services (. Merger & Acquisition firms) or candidates having worked for any kind of Regulator or Official Institutions (. FAFT etc.) could be also possible.
Skills on Teams and Project Management are also needed to be able to manage the new Compliance operating model.
Languages - fluent English is a must.
Regulatory requirements (if any)- verify if the applicants comply with such requirements.
Personal Skills - Good communication skills, ability to coordinate and interact with the different actors at Company / Group level.
Global Responsibilities of Compliance Function
Consistent with his or her position in the organisation – Group, Regional or Local – each Compliance Officer has to guarantee that his or her entity is properly protected from compliance and reputation risk by a Compliance framework adjusted to its risk profile and in agreement with BNP Paribas Compliance policies.
In order to allow the fulfillment of this commitment the Compliance Function is involved at each level in the following assignments:
· Guaranteeing the update of procedures, in compliance with BNP Paribas Group’s rules and applicable laws,
· Contributing to a framework of regulatory watch through a permanent monitoring of regulators activity,
· Contributing to the adjustment of the organisation to monitor and mitigate its exposure to the intrinsic risks of its business,
· Guaranteeing the use of tools provided by or compliant with BNP Paribas Group’s standards,
· Guaranteeing the planning of training programmes relevant to its business profile and legal requirements, these programmes including staff awareness of Compliance topics and enhanced knowledge of the employees exposed to specific Compliance risks or assuming responsibilities in the Compliance organisation,
· Controlling the implementation of the Compliance Governance and its efficiency.
· Alerting the entities management, operational control and compliance function at upper level in case of a faulty devices and significant incidents, and suggests corrective actions.
Specific Responsibilities For Local Compliance
Local Compliance Officers have the following responsibilities:
· Guarantee the alignment of their entities Compliance Governance framework with BNP Paribas and BNP Paribas Cardif standards and, when necessary, submit waiver requests for the gaps between local frameworks and the applicable standards (according to the “Comply or explain” principle).
o Ensuring that BNP Paribas or BNP Paribas Cardif policies and procedures are implemented or adapted within their entities
o Ensuring awareness of their local colleagues to BNP Paribas Cardif Code of Conduct and Compliance risks
o Guaranteeing the adequate training of the employees exposed to Compliance risks in their assignments
· Guarantee the execution of Compliance assignments in the different main steps of the processes described in each reference document of the governance framework after checking their relevance to the business profile of their entities.
· Guarantee the information of Regional Compliance on any difficulty met in the implementation of the policies or procedures and any alarm triggered by their own activities, in particular the data related to terrorism and market abuse.
· Contribute to and attend the ICC if it exists.
Assessment: Based on the previous description, the following key points need to be guaranteed:
Access to information of the company that allows to conduct Compliance responsibilities
Direct access to the Management
It has to be ensured that:
i. Compliance will have access to the Board and to the Regional Compliance at least in the next situations:
To alert when the Company will not be aligned with the Compliance guidelines of the company.
To inform of any relevant change in the local regulation under the scope of Compliance (. data protection, AML).
To alert when the Company will not comply with any local regulation / guidelines under the scope of Compliance.
To alert when the Company will not be in line with any local / corporate market practice (. Customer Value).
To apply for validation / involvement when the Compliance framework require it (. KYI approval, Gifts & Events approval etc.).
When any high / critical risk will be identified in terms of Compliance (. non respect of any control performed by any other department to comply with Compliance framework).
To alert when Compliance action plans / audit recommendations are not systematically respected / implemented by any area of the company.
To inform / alert of any significant new related to the Regulator.
Any other risky situation related to Compliance that could have strong consequences for the company.
Any other local duty that your local regulation may impose.
ii. The Top Management guarantee that access to the information of the company will be granted to Compliance in order to be able to perform the previously detailed responsibilities.
iii. Compliance also have to be appropriately and regularly informed of the relevant facts / events that happen within the entity that affect to the responsibilities of its scope.
Manager of Compliance will be attending relevant committees / events of the company related to Compliance's activity (. New products etc.).