Senior Compliance Officer

BNP Paribas Hampshire , IL 60140

Posted 4 months ago

BACKGROUND

BNP Paribas Leasing Solutions helps companies to expand their business capabilities by offering tailored leasing and finance solutions. Our expert teams partner with equipment vendors that are looking to grow their sales, and businesses that require outsourcing services for assets within a number of key markets. We're a European leader in leasing, backed by the stability of the BNP Paribas group.

WHAT AM I ACCOUNTABLE FOR?

The Compliance department's main responsibilities are to ensure compliance with regulatory requirements compliance monitoring activities, in addition to remaining compliant with the various Group and Corporate Policies, and to investigate, report and monitor regulatory breaches.

MY KEY ACTIVITIES

  • Monitoring of regulations and industry publications, and provide updates on forthcoming changes to Senior Management. Additionally update internal processes and policies as necessary to comply with the changes.

  • Ensure business compliance with regulatory rules & guidelines in line with the business model by the development and maintenance of the Compliance Monitoring Programme, and ensuring regular compliance monitoring controls are performed

  • Coordinate the implementation of the required systems relating to prevention, monitoring, measurement and the control of Compliance in the entity according to the policies set forth by group compliance.

  • Record and investigate any regulatory breaches, and implement any changes to avoid reoccurrence

  • Review and approve financial promotions in line with FCA (Financial Conduct Authority) requirements

  • Provide advice on compliance matters to all staff members

  • Ensure conflicts of interests are prevented, and contribute to resolve them

  • Ensure customer protection & data protection requirements are met by the business

  • Ensure business complies with sanctions and embargoes requirements

MY EXTERNAL CUSTOMERS

FCA, Information Commissioners Office, Finance & Leasing Association, Financial Ombudsman Services, Group Financial Auditors

MY INTERNAL CUSTOMERS

All Departments of Leasing Solutions UK and Group

Territory Compliance

Group Compliance

Inspector Generale

MY EXPERIENCE

Experience in Regulatory Compliance (FCA and associated Consumer Credit regulations) is required, ideally within a Financial Services (Asset Finance) environment.

Ability to identify Regulatory Compliance requirements as appropriate to the business model based on proportionality and risk based approach

Ability to communicate technical requirements clearly to the management

Ability to perform effective compliance monitoring

An understanding of the requirements to prevent Financial Crime

Relevant qualification in Regulatory Compliance would be an advantage

Understanding and experience in Data Protection would be an advantage

Excellent communication and interpersonal skills with an emphasis on strong written and oral communication

Strong attention to detail

Able to work independently towards departmental deliverables, and manage conflicting priorities

MY ENVIRONMENT

Working in the Legal & Compliance Office, and out in the open plan business as required.

Normal working hours are 8.45 to 17.15 Monday Friday; however additional hours may be required from time to time.

Dress code is business formal Monday-Thursday, business casual on a Friday.

MY ADDITIONAL RESPONSIBILITIES

  • Any other ad-hoc duties as required by my Line Manager

  • Responsible for adhering to policies, procedures, guidelines and the internal control framework established to guide the operation of your function in addition to regulatory compliance requirements.

WHAT CAN I EXPECT?

On joining the company I will attend a Company Induction which will introduce me to the different areas of the business and what they do.

Have regular performance reviews with my line manager; this will include a mid-term and end of probationary review and regular one to one catch ups.

I will be expected to complete annual online Compliance training modules via My Development, our online training platform and will continue to receive on the job training throughout my career.

Primary Location: GB-ENG-HampshireJob Type: Standard / PermanentJob: COMPLIANCE AND PERMANENT CONTROLEducation Level: Not indicated

Schedule: Full-time Behavioural competency: Ability to share / pass on knowledge

Transversal competency: Ability to develop and adapt a process

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Senior Compliance Officer

BNP Paribas