Compliance Manager

4 weeks ago

Sydney, Australia BNP Paribas Full time

**Description of the Department**:
A central team of technical experts, the Compliance team provide specialised services and expertise on technical areas on Compliance topics, such as financial security, professional ethics, market integrity, protecting interests of clients, Group policy and local regulatory obligations. They work closely with the heads of the business and partner with the various leadership teams providing technical advice and support.

Mission: is the effective management of key regulatory risks through appropriate level of controls over the business. Compliance is responsible for the review, development and oversight of ethical practices, internal policy, and legal and regulatory requirements implementation. We provide assurance on the subsequent compliance of same and / or monitor and oversee the resolution of any identified issues of non-compliance or areas of key risk. We act as a liaison for external regulators, auditors and industry bodies.

**Summary of the Role**:
The Regulatory Compliance Manager provides compliance advice and opinions on compliance topics, such as professional ethics, market integrity, protecting interests of clients, Group policy and local regulatory obligations to allocated business lines.

He / she performs level 1 compliance operational controls over the compliance activities relevant to the allocated business lines, participates in allocated business line governance meetings, and coordinates escalation up through the compliance chain of command when required to do so.

The Regulatory Compliance Manager provides transversal regulatory watch and monitoring of regulatory evolutions that have an impact of the business’ activities within the Territory as well as the operational monitoring of the associated projects from the Compliance point of view.

**Key Responsibilities**:
Subject matter expert in local regulatory requirements, operations for allocated business line and Group compliance policies.

Policy and Compliance environment evolution:

- Proactive ‘watch’ for evolutions originating from local law, regulators and / or Group policy (including cross-border evolutions - eg FATCA, AEOI / CRS, Volcker, etc)
- Conducts comprehensive analyses of the impact of compliance framework evolutions to business lines active within the Territory (in cooperation with the broader Compliance team), and determines the developments required to implement those changes including supporting implementation of same (participating in and / or project managing projects as required)
- Maintenance of the compliance / control plan for compliance evolutions
- Engagement in embedding of compliance / control plan changes with obligation owners, and conduct design effectiveness test of proposed new controls (if applicable)
- Proactive contribution to the quality and integrity of compliance policy and procedures and maintenance of a repository for the same, creating or updating existing local policies to include evolutions were required (highest standard principle).
- Development of training programs as appropriate including delivery of training sessions (for face to face training) as required from time to time

Advice / Opinions:

- Support broader Compliance team with advice on any local regulatory or Group policy technical support
- Professional ethics: approvals - inc PAD, OBI, G&I
- Protecting the interests of customers - inc data leakage reviews, marketing approvals
- Market abuse - alerts, approvals for TPP / HRRO
- GBFR review of submissions (FATCA / CSR, Volcker assurance, etc)
- New product approvals for business line (TAC / NAC)
- Business Outsourcing requests

Regulatory Office:

- Preparation and coordination for regulatory inspections related to the Territory
- Preparation and coordination of all adhoc regulatory communication

Governance and reporting:

- Contribution to territory, regional and global governance meetings and reporting
- Active participation in business line meetings and calls

Training:

- Design, distribution / presentation of compulsory training within scope of remit.

**Qualifications & Experience required for the role**:
Degree qualified in Business, Law or Commerce

Post graduate qualifications in law and/or financial markets beneficial

10+ years experience in similar regulatory and/or advisory role, global markets experience looked upon favourably;

Demonstrable experience in fast paced, agile working environments;

Technically specific qualifications or evidence of ongoing development for area of specialisation eg: Compliance Management.

**Technical Skills required for the role**:
Sound knowledge of financial services regulatory and market requirements (including ASIC, APRA, ASX and AUSTRAC), as well as industry association guidelines and initiatives

Ability to work independently and proactively on compliance risk management and advisory

**Core Competencies required for the role**:
1. Client focus

2. Change management

3. Collaborative appr

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