Profile : Around 10 years of experience in a regulated financial institution with at least a previous position within an internal control function.
Main responsibilities: the head of Compliance of FPE branch is primarily responsible for:
- Provide reasonable assurance to FPE Chief Compliance Officer, FPE Branch management and regulators that adequate policies, procedures, and efficient compliance internal control measures are in place consistent with FPE’s Compliance requirements, characteristics, compliance risks, and in line with applicable laws and regulations,
- Establish standards and implement procedures to ensure that the compliance frameworks throughout the branch are effective and efficient in identifying, preventing, detecting, and correcting noncompliance,
- Oversee compliance within the FPE branch and ensure compliance with local regulatory requirements, FPE policies and procedures.
- FTE branch Chief Compliance Officer will also endorse the role of MLRO/AMLCO
- Manage FPE branch's relationship with local regulator
- Adapt FPE Compliance policies & local BNPP policies, procedures and control plans to FPE branch specificities & local regulatory requirements
- Define the annual compliance work plan that reflects the branch's characteristics & growth
- Manage, review the analysis of suspicious activity alerts and decide on the transmission of suspicious activity reports to competent authorities
- Take decisions as per delegation received on the scope of responsibilities and ensure documentation and tracking of decisions
- Contribute to Compliance Risk Assessment Process, aggregate and report on CPL risks for the FPE branch
- Provide recommendations for remediation of identified deficiencies, and collaborate with the business to follow up on timely remediation.
- Improve the Compliance permanent control process as necessary
- Providing guidance, advice, and training on compliance topics for FPE local’s staff and stakeholders
- Preparing and presenting clear and concise compliance reports to the FPE CPL and FPE branch management
- Define appropriate governance and organization within FPE branch taking into account FPE specificities and local regulations
- Plan, organize, and execute day-to-day operational compliance activities
- Roll-out objectives and validate annual priorities with input from FPE Compliance
- Represent Compliance Function in FPE branch management committee
- Contribute to FTE Compliance reporting and Committee
Reporting : The head of Compliance of FPE branch report to the Chief Compliance Officer of FPE
- Integrity & Accuracy
- Having a strategic vision
- Problem solving & decision-making capacity
- Impact, acting with perspective
- Client focus
- Impact, acting with perspective
- Developing others
- Understanding of sector environment
- General knowledge of applicable regulatory framework
- Extensive knowledge of Compliance issues and challenges specific to his/her environment, especially with regards to AML & FT
Fluent in local language & in English is a must.
BNP Paribas Group in Spain is an equal opportunity employer and proud to provide equal employment opportunity to all job seekers. We are actively committed to ensuring that no individual is discriminated against on the grounds of age, disability, gender reassignment, marriage or civil partnership status, pregnancy and maternity/paternity, race, religion or belief, sex or sexual orientation. Equity and diversity are at the core of our recruitment policy because we believe that they foster creativity and efficiency, which in turn increase performance and productivity. Therefore, on equal terms of qualifications and competencies for the position, the candidate of the underrepresented sex at that level shall have access to the position. We strive to reflect the society we live in, while keeping with the image of our clients.