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Financial Security Controls and Reviews Officer

Type de contrat

Standard / Permanent



Métier / fonction




Business Area Overview


BNP Paribas has a presence in 75 countries with more than 185,000 employees, including 145,000 in Europe. It ranks highly in its two core activities: Retail Banking & Services and Corporate & Institutional Banking (CIB).

BNP Paribas Corporate & Institutional Bank is a leading European investment bank with global leadership in many of our businesses. With nearly 20,000 employees in over 45 countries, CIB can offer you an exciting and truly global career.

At BNP Paribas CIB, we work continuously on behalf of our clients, helping them to realize their projects around the world. You can be an important part of this, helping us to serve our clients both in mature and emerging markets, providing them with financial solutions across a diverse range of expertise, products and services. Our origins lie in Europe, but nearly a quarter of our employees now work in our multi-award-winning Asia Pacific offices and we are a committed player in all markets.

Strong risk management, combined with the stability that comes from being part of one of the largest banking groups in the world, underpin our success. Joining us, you’ll become an integral part of a dynamic team that spans nationalities, cultures and backgrounds, drawing together people from around the globe and reflecting our commitment to international placements.


Department Overview & Objectives


Controls and Monitoring Reviews team is part of UK Financial Security (UKFS). UKFS has advisory and oversight responsibilities for financial crime risks including AML, ABC, terrorist financing, sanctions, KYC & on-boarding, 1LOD monitoring and 2LOD controls and reviews. UKFS reports to the UK MLRO and performs a number of roles, which include:

• Supporting and assisting senior management in adherence to applicable laws and regulations as well as to high standards of business and ethical integrity
• Advising CIB UK staff on applicable laws, regulations and standards
• Providing training
• 1LOD monitoring
• 2LOD controls and reviews
• Investigation of suspected breaches
• Producing regular and ad-hoc management information 


Role Overview & Purpose


Within UKFS the Controls and Reviews Officer (CRO) will support:

• Development, implementation, maintenance and execution of 2LOD permanent controls in line with the Group, CIB and local requirements
• Development and execution of monitoring reviews
• Ensuring that weaknesses are identified, reported and dealt with in a timely manner to provide for an adequate and effective 1LOD control framework



Key Responsibilities


The UKFS CRO will be responsible for:

• Conducting financial security controls and reviews within CIB business and functions to provide reasonable assurance to the bank’s Management that business lines and functions have adequate controls and procedures in place to manage financial security risks
• Providing suitable challenge to the business and functions with regards to financial security risk
• Making appropriate suggestion for enhancements of controls, processes and procedures as relevant
• Testing application and effectiveness of financial security policies and procedures (by undertaking compliance assurance testing as defined in the control and monitoring plan) across CIB business and functions
• Maintaining appropriate records and work papers detailing the review work undertaken
• Preparation of control and review reports outlining key findings and agreed remediating actions
• Ensuring that issues are identified, reported and dealt with in a timely manner and receive sufficient business focus
• Preparing regular and ad-hoc management information
• Supporting the performance of a financial security risk assessment
• Developing, implementing and executing FS Controls and Reviews Plan
• Making recommendations to enhancing internal processes, procedures and controls
• Preparing periodic reports including Negative News returns
• Identifying any relevant financial security risks highlighted by the regulators including their thematic work and by organizations such as FATF, NCA or TI, which may have potential impact on the operation of the business lines, functions, 2LOD controls, monitoring reviews and processes
• Any ad-hoc requests as approved by line manager or Head of UKFS

Skills & Experience


 • Proven experience working in a financial crime environment, preferably in an investment banking context
• Proven experience of undertaking 2LOD controls testing and reviews and writing comprehensive reports
• Strong track record in assessing risk and concluding logically on investigations/testing undertaken to take an informed decision how to mitigate risks and escalate where relevant
• Good working knowledge of the FCA’s Financial Crime Guide and of the UK Joint Money Laundering Steering Group (‘JMLSG’) Guidance
• Good working knowledge of the UK AML, CTF, Sanctions and ABC regimes and risk associated with product, jurisdiction and client-type(s)
• Good analytical skills, with good Microsoft Excel and data analysis capability
• Ability to apply holistic approach to identifying, investigating and mitigating financial crime risk and (to propose risk mitigates) when presenting an informed/balanced view of issues to line Management
• Excellent team player within a high pressure environment
• First class communication skills, both written and oral
• A proven ability to present a given issue to Management and argue a case accordingly
• A self-starter who requires minimal supervision
• A proactive approach to all aspects of the role will be essential, ability to learn fast and deliver within deadlines
• A proven ability to make quick decisions whilst also ensuring that all issues have been appropriately considered and mitigated