Compliance Specialist - Regulatory Management and Projects & PIC
BNP Paribas
31d ago

Director and Chief Compliance Officer

Help protect the BNP Paribas Canada Branch and all subsidiaries of BNP Paribas under the authority of the Head of Territory for Canada, (hereinafter the Bank ), and as a result, the BNP Paribas Group, from non-

compliance risk (i.e. risk associated with the non-observance of legislative and regulatory provisions, professional and ethical standards and BNP Paribas instructions that apply to the Bank), taking into account the protection of their reputation, by ensuring the compliance and efficience of permanent control activities in relation to said risk, with regard to :

  • Regulatory monitoring in relation to legislation and regulation within the scope of the Compliance function, including the Client Fiscal Regulations (FATCA and AEOI);
  • Regulatory compliance programs and Risk-Assessment management, with the exception of the part of the programs on Financial Security;
  • Protection of interests of clients
  • This position does not involve personnel management.

    The Assistant Vice-President Compliance - Regulatory Management and Projects and Protection of Interests of Clients contributes to the Canadian oversight of Legislative and Regulatory Management.

    Specifically, he (she) will :

  • Ensure to identify all proposed legislative and regulatory provisions ( Provisions ) that fall under the responsibility of Compliance, and track their effective dates of implementation.
  • Identify the sectors / employees that will be affected by these Provisions prior to their effective dates.
  • Alert management and all Compliance employees, as well as all other Bank employees that will be affected by the Provisions.
  • Plan and prepare / communicate trainings when necessary for employees who will be impacted by the Provisions. Hold / take part in awareness (reminder) meetings on a continuous basis for all new Bank employees or Bank employees who newly hold a position that requires such training.
  • Supervise action plans for the application of these provisions, ensure follow-up and share periodic updates of findings with the Bank’s Compliance Committees.
  • Intervene where necessary to ensure that provisions for which adherence is especially imperative are applied correctly.

    The Assistant Vice-President Compliance - Regulatory Management and Projects and Protection of Interests of Clients contributes to the implementation of the Protection of Interests of Clients domain in Canada.

    Specifically, he (she) will :

  • Oversee the implementation of various measures related to the Protection of Interests of Clients at the Bank, especially in terms of :
  • o the local legal and regulatory context; and

    o the control plan issued by the Group.

  • Ensure that proper feedback is provided to Committees; complete related self-assessments; ensure that client complaints are managed correctly and that related information is passed on.
  • Ensure that the list of procedures (related to Regulatory Risk Management, Protection of Interests of Clients and any other assigned subject) that the Bank must apply at the request of the Group or to meet Canadian regulatory obligations is kept up to date.
  • Carry out permanent controls in the Client Protection domain and any other assigned domains. Complete all controls in accordance with the defined frequency and methodology and document work and results in order to ensure a thorough audit trail.
  • With regard to Regulatory Risk Matrices (the purpose of which is to assess and monitor the risk of non-compliance with regulations that apply to Bank operations), update the regulatory matrices (Bank Act and Labour and Social Laws) by identifying applicable Provisions (as described above), and in the implementation of such matrices.
  • Ensure that texts are included in internal processes via procedure validation and assist in validating residual non-compliance risk and improvement plans where applicable.

  • Advise Business Lines, functions, Middle & Back offices and Senior Management on all compliance matters under his / her responsibility.
  • Provide training (as required and in addition to training on regulations and legislation) in his / her areas of expertise to employees in order to improve their knowledge and allow them to perform their tasks more effectively, including on the Bank’s various teams.
  • Bachelor’s degree (preferably in law, or administration management / finance )
  • Three to five years’ experience in Compliance or operational banking sectors.
  • Critical thinking and judgement
  • Analytical skills and rigor
  • Knowledge of banking regulations and practices with regard to international transactions
  • Excellent written and spoken communication skills (writing and training)
  • Bilingual
  • Knowledge of banking products and financial instruments
  • Ability to share information and inform superiors
  • Working knowledge of standard computer hardware and software
  • Team spirit
  • Tact and diplomacy
  • Discretion
  • Ability to work independently
  • Capacity for innovation and initiative
  • A recruitment policy that promotes equity and diversity : Equity and diversity are at the core of our recruitment policy because we believe that they foster creativity and efficiency which in turn increase performance and productivity.

    We strive to reflect the society we live in, while keeping with the image of our clients. We pride ourselves in applying non-

    discrimination rules to all our recruitments. We will only contact the candidates selected who meet the job requirements in terms of training and experience.

    BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 73 countries, with more than 195,000 employees, including more than 148,000 in Europe.

    The Group has key positions in its three main activities : Domestic Markets and International Financial Services (whose retail-

    banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises : corporate clients and institutional investors.

    The Group helps all its clients (individuals, community associations, entrepreneurs, SMEs, corporates and institutional clients) to realise their projects through solutions spanning financing, investment, savings and protection insurance.

    In Europe, the Group has four domestic markets (Belgium, France, Italy and Luxembourg) and BNP Paribas Personal Finance is the leader in consumer lending.

    BNP Paribas is rolling out its integrated retail-banking model in Mediterranean countries, in Turkey, in Eastern Europe and a large network in the western part of the United States.

    In its Corporate & Institutional Banking and International Financial Services activities, BNP Paribas also enjoys top positions in Europe, a strong presence in the Americas as well as a solid and fast-

    growing business in Asia-Pacific.

    In Canada, BNP Paribas is one of the dominant foreign banks in the country and is committed to building its platform even further.

    Since becoming the operational hub for the Group’s activities in North America in 2013, it has grown significantly to reach more than 700 employees and is expected to continue growing in the coming years.

    With the continued development of technology and financial fields, BNP Paribas Canada continues to attract experts with diverse backgrounds as well as young and ambitious talent from across the globe.

    With the international mobility and capacity that very few companies can offer, BNP Paribas prides itself in providing a superior foundation for building a professional career -

    a place for people to learn, to achieve and grow.

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