● Ensure and preserve BNPP’s value and reputation through day-to-day advice to the business and the functions
● Lead and motivate the team, train junior Compliance officers as necessary
● Have a good communication and coordination with global and regional FM Compliance colleagues as well as the Domains Compliance Officers.
Advisory-Related Responsibilities within operational perimeter
● Provide advice to the Financial Markets perimeter on Compliance issues
● Support the Co-Head of MI Domain and Financial Markets Advisory Compliance and other team members with regard to the business areas covered by the team but is not mentioned in the above point
● Work closely with Global Banking Advisory Compliance officers when necessary and take a role from the perspective of Shoken Compliance for transversal situations across Shoken and Ginko
● Work closely with Compliance Domain Responsible Officers locally (who are handling transversal topics) when necessary
● Ensure consistency of decisions and operating models through close cooperation with other Compliance officers and business lines
● Provide training sessions to the teams including both front office and functions of the relevant operational perimeter regarding rules, regulations, policies and procedures within the operational perimeter
● Ensure high level regulatory watch, update internal policies and procedures according to changes of rules and regulations, and coordinate with the Regional and local functions (e.g. Legal, RISK, local COO), in order to anticipate new regulations and contribute to adapt the Bank’s control framework accordingly
● Participate in communication with regulators, including inspectors, and participate to regulator relations (e.g. contribute to written answers to specific requests, etc.) when necessary, and provide timely and accurate regulatory submissions
● Contribute to control plans (including regulatory controls, support businesses in FSA, etc. controls) as applicable
· Ensure maintenance as well as continued implementation / development of the Group’s internal control framework, internal control plans, Compliance standards and procedures
· Develop and maintain expertise, advise and assist relevant business lines and functions operating in the area of general Compliance
· Contribute to participate in and coordinate specific investigations, as necessary
· Coordinate with the regional/global Business Advisory and Domain Compliance teams for any relevant matter
· Report on the above through the relevant channels to Compliance Management promptly and accurately and to assist and coordinate with stakeholders within/outside of Compliance as per necessary
Contribute to the Permanent Control framework
-
Help ensure that Compliance continues to contribute to BNP Paribas’ Permanent Control framework.