Compliance Officer, Whistleblowing and Breaches - London, United Kingdom - BNP Paribas

BNP Paribas
BNP Paribas
Verified Company
London, United Kingdom

2 days ago

Tom O´Connor

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Tom O´Connor

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Description
COMPLIANCE OFFICER, WHISTLEBLOWING AND BREACHES - ASSISTANT VICE PRESIDENT (


JOB NUMBER:
26048)


BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 73 countries, with more than 196,000 employees, including around 149,000 in Europe.

The Group has key positions in its three main activities:

Domestic Markets, 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.



BNP Paribas Corporate and Institutional Banking is a globally recognised leader offering capital markets, securities services, financing, treasury and advisory solutions.


The Compliance department in London Branch ("CIB UK Compliance") is an integrated and independent function that forms part of the Global Compliance function which is placed under the ultimate authority of the Global Head of Compliance.

The Professional Ethics team within CIB UK Compliance supports one of the key global Compliance domains. The Whistleblowing Referents are responsible for maintaining confidentiality around whistleblowing cases as part of the bank's whistleblowing framework.


The Compliance Officer, Whistleblowing and Breaches is a new role to support the BNPP London Branch Whistleblowing Referents to ensure that whistleblowing cases under the responsibility of the Referents are managed consistently and to the highest standards in accordance with the Whistleblowing Policy and procedure.

The role will also support the UK framework for the management and record keeping of staff breaches.


Scope:

  • UK CIB (including BPSS)
  • UK Territory contact point for Compliance Group & UK CPBS & IPS entities

The Responsibilities


The role reports to the Head of Assurance and Professional Ethics within UK Compliance and works closely with the Head of Compliance and other Compliance staff together with other key HR, IT, Legal and Business stakeholders.

The role will also require a close working relationship with colleagues in the Professional Ethics domain working on whistleblowing matters.


As stated under Purpose, the role involves supporting the Whistleblowing set up to ensure that whistleblowing cases under the responsibility of the Referents are managed in accordance with the Whistleblowing Policy and procedure with effective case management, record keeping and reporting.

You will be a point of reference for the Whistleblowing Referents and other key stakeholders with your expertise across Whistleblowing processes and will lead by example when conducting Whistleblowing investigations.


You will also assist the Head of Assurance and Professional Ethics on conduct breach management and record keeping for CIB UK.


Activities and deliverables comprise the following:
Whistleblowing

  • Lead on the implementation of the Whistleblowing Framework Review
  • Action Plan defined by UK Compliance and validated by Territory Management, to include developing standard templates and/or checklists for consistency of conduct of Whistleblowing investigations, record keeping and reporting
  • Take an active role in Whistleblowing investigations, contributing to and leading investigations as required and ensuring that the planning and conduct of the investigations and the records created meet the highest quality standards and performance criteria
  • Being an expert on the procedural requirements, ensure that all Whistleblowing investigations meet the highest quality standards and performance criteria, providing support and advice as needed
  • Support and maintain strict confidentiality requirements for managing Whistleblowing reports
  • Lead on the production of Management Information and reporting on Whistleblowing cases including reporting to Group Compliance, preparing packs used for Referent meetings, bimonthly meetings with the whistleblowing champion and for meetings with the FCA. Contribute to preparation of the annual Whistleblowing report
  • Organise and attend meetings as required by the Referents, contributing to the agenda and recording decisions and actions to be taken and ensuring these are followed up
  • Perform Group and local controls on Whistleblowing as required
Breach management

  • Organise and attend meetings of the Staff Breaches Working Group, including leading on preparation of the agenda and producing minutes, seeking contributions and reviewing and collating those received in advance of each meeting, working closely with the SBWG Chair(s)
  • Identify and highlight any repeated or multiple breaches from the contributions received
  • Keep clear and accurate records of breach decisions from the Staff Breaches Working Group
  • Contribute to breach reporting and reporting on the activities of the Staff Breaches Working Group as required
  • Keep the Staff Breaches Working Group procedures and Terms of Reference under review
  • Contribute to the
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