ISPL Compliance - Associate
Standard / Permanent
COMPLIANCE AND PERMANENT CONTROL
Core Compliance Activities
1. Code of Conduct key requirements, BNP Paribas policies and local regulations are followed.
2. Relevant controls are set up and implemented and the commitments for insourced services are carried out in accordance with terms of SLAs.
3. Regulatory commitments given for offshoring activities are adhered to.
Principle Business Responsibilities
I. Roll out and monitor adherence to Compliance Policies
› Ensure adherence to Compliance Policies: Permanent Account Dealing (PAD) Policy, Gifts & Invitations Policy, Professional Code of Conduct Policy, Personal Data Protection Policy.
› Review new policies rolled out and implement the same for ISPL, as applicable / appropriate.
II. Review of Service Level Agreements
› Review all Service Level Agreements
› Interact with the Service Recipient Compliance team and seek their views / opinions / conditions
› Roll out SLA Adherence controls and track the execution.
III. Track local regulatory requirements
› Monitor compliance with local regulatory requirements: STPI, DoT
IV. Compliance Trainings
› Mandatory eLearning Training Modules: Procuring completion status reports, tracking delinquents, making escalations and ensuring 100% completion status
› Other Specific / Customized training programs: roll out specific customized training programs (classroom / eLearning modules) as per directions from the Onshore Compliance teams.
VI. Maintain records of various Miscellaneous items
› Declaration by employees of Offices Held on Private basis
› Any other matter that may arise from time to time
─ Coordinate and communicate – Coordinate with various departments / métiers / functions / countries; Communicate across all levels to ensure management directions including group guidelines are understood.
─ Provide information to Region / Global Compliance as and when required.
Profile of the Candidate
Education and Experience
─ University Graduate with relevant professional qualifications (e.g. Economics and/or Law degree, Compliance Diploma, etc).
─ Have acquired at least 5 years of experience in Compliance or Support Function preferably with large complex financial institutions and/or well known international banking groups.
─ Must have experience in Outsourcing / Offshoring of banking and/or securities related tasks in a compliance advisory role
─ Strong Compliance background
─ Good understanding of financial / banking products / services
─ Experience of working in international banking business structure
─ Strong English communication skills
─ Ability to identify and solve issues
─ Self-motivated and result oriented, with the ability to work under pressure
─ Influencing skills