Senior Compliance Officer London
SENIOR COMPLIANCE OFFICER (JOB NUMBER: 9990)
BNP Paribas Asset Management (‘BNPP AM) is the investment arm of BNP Paribas, a leading banking group in Europe with international reach. At BNPP AM, we aim to generate long-term sustainable investment returns for our clients, based on a unique sustainability-driven philosophy. This philosophy has shaped our firm and directs all we do: our strategy, our culture, our structure, our products and our processes; the way we engage with our clients and our role in influencing the companies and the markets we invest in.
Role Description and Purpose
PIC and PE Compliance Advisory: To act as the lead trusted advisor to the asset management business on Client Interest Protection (PIC) and Professional Ethics (PE) including SMCR, Sales & Marketing, Financial Promotions, Personal Account Dealing, Gifts and Entertainment, under the supervision of the Head of UK Compliance.Core Compliance: Maintain registers, returns and filings as applicable. Address and provide training on the various compliance/senior management arrangements required by the Group and/or applicable laws and regulation.Regulatory Implementation: To participate in the analysis and implementation of new regulations impacting asset management and the firm.Compliance Monitoring: To assist in the Monitoring team in performing monitoring activities as required.General Support to the Compliance Department: To provide ongoing assistance to the compliance team on day-to-day business queries, regulatory implementation, ad-hoc projects and provide back up support for the Monitoring, Market Integrity and Financial Crime functions.Policies, Procedures and processes: To ensure that the Asset Management Compliance Manual and compliance policies, procedures and processes are up-to-date and reviewed on an annual basis.
Key Responsibilities
PIC and PE Compliance Advisory:
Dealing with daily busi
Responsibility: PIC and PE Compliance Advisory: To act as the lead trusted advisor to the asset management business on Client Interest Protection and Professional Ethics including SMCR, Sales & Marketing, Financial Promotions, Personal Account Dealing, Gifts and Entertainment, under the supervision of the Head of UK Compliance, regulatory Implementation: To participate in the analysis and implementation of new regulations impacting asset management and the firm, compliance Monitoring: To assist in the Monitoring team in performing monitoring activities as required, general Support to the Compliance Department: To provide ongoing assistance to the compliance team on day-to-day business queries, regulatory implementation, ad-hoc projects and provide back up support for the Monitoring, Market Integrity and Financial Crime functions
Requirements: A working knowledge of the FCA Handbook with particular emphasis on Asset Management and the COBS, FIT, TC, SYSC and SUP Sourcebooks. A good understanding of SMCR is essential, excellent communication and influencing skills to liaise with the business and Senior Management, excellent written skills including ability to clearly present concepts and ideas, analytical/problem solving skills and ability to document overall thinking
full-time | Permanent
Job position: compliance officer