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CHIEF COMPLIANCE OFFICER

Horaires
Temps plein
Marque
BNP Paribas Asset Management
Niveau d'expérience
3 à 5 ans
Niveau d'études
Niveau BAC+2/3
Localisation
Luxembourg

BNP Paribas Asset Management Luxembourg SA (“BNP Paribas AM Lux”) is the super manco supervising UCITS and AIF funds of the Luxembourgish BNP Paribas fund range.

 

CHIEF COMPLIANCE OFFICER M/F

CDI

     

REPORTING LINES

:     Hierarchical reporting: BNPP AM Regional Head of Compliance for Luxembourg (in Paris)

                   

FUNCTION

:       Chief Compliance Officer in charge of the compliance function for BNP Paribas Asset

Management Luxembourg SA

INTERACTIONS

:          Conducting Officer Compliance , CEO, AM Business teams, Global AM Compliance and Domains, Territory Compliance in Luxembourg, transversal teams, BNPP AM Client Service Luxembourg coverage teams, BNPP AM Luxembourg KYC teams (Centre of Expertise)

     

DEFINITION OF

RESPONSIBILITIES

For the entity and scope under his coverage, the Chief Compliance Officer is responsible for:

  • Ensuring the existence and implementation of an efficient compliance framework
  • Enforcing compliance rules consistent with Group Compliance requirements and in line with applicable laws and regulations.
  • Provide reasonable assurance to Global Head of BNPP AM Compliance, and BNPP AM Luxembourg CEO as well as to BNPP AM Luxembourg governance bodies and regulators that up-to-date policies and procedures, and adequate compliance set-ups are in place and applied within the entity,
  • Managing a team of dedicated compliance officers.
  • Acting as the named RC (Responsable du Contrôle AML/CTF) for the Management Company

The main purposes of the compliance framework are:

  • To detect any risk of non-compliance with the professional obligations applicable to the entity; and
  • To take any measures to minimize the consequences of non-compliance by BNPP AM Luxembourg with its professional obligations.

The Chief Compliance Officer ensures that BNP Paribas Asset Management Luxembourg framework complies with the Group rules and the Luxembourg regulations in force, in particular as regards to:

  • Prevention of money laundering, fight against corruption and terrorism financing, compliance with sanctions and embargoes
  • Compliance with the Professional Ethics, Market Integrity, Clients Interest’s protection and other compliance related rules
  • Deployment and implementation of Compliance permanent control framework and follow-up of concrete action plans
  • Deployment and/or adaptation of Compliance policies and procedures

The scope of activity covers the different activities of BNPP Asset Management Luxembourg.

MAIN ACTIVITIES

  • In terms of advice
    • Define the organisation and governance of the compliance framework
    • Provide support and guidance to the Management and Business teams in a proactive manner and when needed or requested (e.g., RFP, due diligence visits, audits),
    • Ensure that AML/CTF and customer database screening alerts are properly handled by Luxembourg Compliance
    • Ensure training and advise local teams in the conduct of their mission so that they can carry out the tasks placed under their responsibility in compliance with their professional obligations
    • Adapt to BNPP AM Luxembourg, the BNPP AM corporate Compliance training policy and make sure that it is tailored to local specificities, implemented, and deliver local training
    • Represent the Compliance function in relevant local and global committees
    • Promote staff and management awareness on Compliance topics and set the tone at the top to develop a strong Compliance culture
  • In terms of supervision
    • Ensure consistent deployment  of compliance framework (policies, controls, tools, training) within BNPP AM Luxembourg
    • Update the compliance risk classification in line with business developments, Group policies and regulations
    • Define and regularly update applicable compliance policies, rules, standards and methodologies.
    • Monitor that compliance rules are enforced in the entity and ensure that action plans are implemented to correct any weaknesses
    • Make sure that the employees comply with the applicable internal rules (conduct of business, policies, training sessions…) and identify the potential situations of conflict of interests
    • Advise and exercise a duty of alert with regard to the direct management and to the business lines
    • Represent the Compliance Function vis a vis regulatory bodies
    • Ensure regulatory watch on his/her perimeter
  • In terms of decision
    • Review at-risk clients and intermediaries files prior to their presentation to the acceptance committee
    • Make Compliance decisions and/or delivers advice on the issues escalated by local teams, in his/her scope of responsibility, according to the Group decision and escalation processes
    • Analyse Compliance risks and specific issues on his/her perimeter, in order to inform the decision-making bodies, to provide them with decision-making assistance and to raise alerts if the risk profile requires it
    • Examine the compliance of new operations, services or products (TAC / NAC)
  • In terms of management
    • Drive the change required within Compliance Function in interaction with Business and with Global Compliance
    • Ensure the management of the local compliance team
    • Evaluate and manage the means necessary (calendar, budget, resources) for the functioning of the team
    • Validate priorities for his/her direct report(s), define their objectives, monitor the results and appraise performance
    • Monitor the training roadmap of his/her teams
  • In terms of projects and tools
    • Implement the strategy and vision of the function and put it into practice
    • Ensure the deployment of the mandatory Group IT tools at local level
    • Manage the roadmap of projects related to the function
    • Contribute to the implementation of projects specific to the function at local level (deployment)
    • Organise the function through the facilitation of Transformation projects and Change Management
  • In terms of control an regulatory reports
    • Establish appropriate governance to manage compliance risk
    • Ensure a second level of control on the compliance framework and implement an independent testing plan on the 1LoD  compliance controls plans
    • Ensure the data collection on Compliance Risk Management System (CRMS) for BNPP AM, identify risk areas, propose and follow-up on the required corrective actions
    • Contribute to and participate to the Internal Control Committees or other relevant committees and communicate business reports in a timely manner
    • Draft the annual reports on his area of responsibility that has to be sent to the authorities.

PROFILE

  • Soft skills:
    • Contact and communication skills
    • Client focus
    • Positive and constructive spirit with a desire to find controlled solutions
    • Ability to learn (curiosity)
    • Ability to adapt
    • Critical thinking and analytical ability
    • Rigour
  • Technical skills
    • Strong expertise in compliance issues and challenges specific to his/her environment
    • Proficiency in understanding and transposing regulatory requirements into effective and efficient operational framework
    • Strong knowledge of the asset management industry
    • Fluent in French and in English

EXPERIENCE

  • This position is for a candidate with significant experience in a compliance function and at least one experience in team management
Primary Location
Luxembourg
Job Type
CDI
Job
CONFORMITE
Education Level
Bachelor / Licence ou équivalent (>= 3 ans)
Experience Level
Au moins 3 ans
Schedule
Temps plein
Reference
IFS000258

Pourquoi je candidaterais ?

Pour quelles raisons je rejoindrais BNP Paribas et pas une autre entreprise ?

Parce que je souhaite...

  • Et si on vous disait que travailler dans notre Groupe, ce n’est pas ce que vous croyez ? Chez BNP Paribas, on exerce une multitude de métiers qui évoluent en permanence pour être en phase avec les attentes des clientes et clients comme de la société.

  • Se sentir bien dans son job, c’est avant tout venir travailler comme on est.  C’est aussi avoir les moyens d’un bon équilibre entre sa vie professionnelle et sa vie personnelle. Deux engagements majeurs pour BNP Paribas.

  • Chez BNP Paribas, le développement de vos compétences est essentiel, pour vous comme pour nous. Et cela vous servira pour toute votre vie professionnelle.

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