The bank for a changing world

Compliance Officer, Private Side Compliance


Standard / Permanent



Job function




BNP Paribas 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.


Overall Job Purpose

Reporting into the Head of Corporate Finance, ECM and FIC assist with supporting relevant business areas and advise those areas on key compliance risks.


Key Responsibilities

  • Provide compliance advice to businesses in relation to new activities, transactions, other compliance arrangements, and implementation and management of relevant policies
  • Assist in managing potential conflict of interests within relevant business areas and establish central center of excellence for conflicts in the UK
  • Work with colleagues in Paris, New York and Hong Kong ensuring the approach is aligned between globally
  • Maintenance / development of policies and procedures in light of regulatory, business and compliance developments. This includes assisting relevant businesses in setting procedures for the territory
  • Proactively training and advising business lines on managing MNPI, conflicts of interest, and regulatory requirements and developments as required 
  • Providing key management information in relation to areas of responsibility on a periodic basis. 
  • Regulatory watch and relationship management with local regulators

Core Activities Covered

  • Provision of compliance advice to UK Corporate Finance, Equity Capital Markets and Financial Institutions Group, relevant compliance issues on a global basis 
  • Undertake key reviews and projects as directed by Head of Private Side Compliance, this includes both Compliance Rebuilding reviews as well as specific thematic reviews of the relevant businesses

Compliance Advisory

  • Elaborate the compliance policy in the Territory, as directed by the Head of Corporate Finance, ECM and FIC Compliance and in accordance with the compliance general policy of the Group 
  • Seek to ensure proportionate implementation in the relevant Entities of the Territory by taking into account their potential specificities and relevant regulations 
  • Provide advice on compliance issues related to all transactions, products or businesses of the relevant Métiers occurring in the Territory (and saving of records of advice provided) 
  • Seek to ensure application of compliance controls related to all transactions, products and relevant businesses of the UK Territory (and saving of records of checks performed):
    - Periodic review of 1st level controls
    - Over sight of 1st level controls, implementation and review of 2nd level controls 
  • To alert relevant Compliance Management on local laws and regulations 
  • Contribute to the new activity / transaction approval committees (TAC, NAC and others) as necessary (including via pre-NAC and TAC processes), liaising as relevant with the CIB Compliance Transversal Team to prepare TACs on cross-border transactions 
  • Alerting the Head of Corporate Finance, ECM and FIC Compliance of all significant and urgent compliance matters/issues that require such escalation 
  • Contribute to the relationship with local Regulators 
  • To be aware on an on-going basis of key applicable laws and regulations and market practices through reading, training, participation in industry groups, working with Legal and Compliance contacts, etc.

Market Conduct

  • As appropriate to seek to implement Regulatory, Group and CIB standards :
    - In collaboration with the Risk Assessment Team to contribute to the definition and implementation of monitoring procedures to identify actual or potential conflict of interest scenarios, insider dealing activities and other compliance risks
    - To assist the Control Room as appropriate by seeking to ensure that the business provides information to allow for the maintenance and update of the conflicts register, watch list, restricted list and insider lists

Professional Ethics

  • To assist the Head of Compliance Training in compliance awareness-raising and information towards relevant staff in the UK, including for example via:
    - providing orientation on compliance issues to new employees
    - contributing to the design and delivery of compliance training
  • To assist the PA Dealing/Outside Business Interests Officer with the implementation by the business of the relevant Group, CIB and UK requirements

Day to Day CIB Compliance Operations

  • To seek to ensure the appropriate implementation of Group / CIB policies and procedures 
  • To help ensure the delivery of day-to-day operational compliance activities in the Territory (including putting in place appropriate systems/processes to manage compliance risks, execution of compliance operational permanent controls, internal investigations on compliance matters, etc.)
  • To assist the Control Room as appropriate in enhancing/implementing policies and procedures relating to the management of conflicts of interest and the management of confidential information - and ensuring that the business lines understand and observe these requirements

Risk Identification and Management Tools

  • Contribute to the set up, implementation and operation of risk identification and management tools designed by Group, CIB C&C Functions, and UK Compliance

Financial Security

  • Contribute to the implementation of Regulatory, Group and CIB standards against money laundering, fraud, corruption, terrorism, etc.


  • As required, to contribute to committees by representing the UK Compliance function, or CIB Compliance

Projects and Objectives

  • As directed, to contribute to UK, regional or global projects with a view to ensuring that they are delivered effectively and efficiently

Legal and Regulatory Responsibilities

  • Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to, the London Compliance manual and Compliance policies and procedures as issued from time to time; Financial Crime Prevention requirements, including, but not limited to, the prevention of Financial Crime and Fraud including reporting obligations to the Money Laundering Reporting Officer.

Maintain appropriate knowledge to ensure to be fully qualified to undertake the role. Complete all mandatory training as required to attain and maintain competence.

 Skills & Experience required

  • Proven practical experience in Private Side Compliance 
  • CISI Compliance Diploma/ good regulatory knowledge of FCA sourcebooks 
  • Strong IB product knowledge 
  • Gravitas and professional maturity 
  • First class writing skills and verbal communication 
  • Strong team player