Compliance Officer
il y a 2 jours
COMPLIANCE OFFICER (M/F) (NUMÉRO DE L'EMPLOI : BNPPAMCDI COMPLIANCE)
**COMPLIANCE OFFICER**
**THE COMPANIES**:BNP **Paribas Asset Management Luxembourg SA (“BNP Paribas AM Lux”)** is the super manco supervising UCITS and AIF funds of the Luxembourgish BNP Paribas fund range.
**REPORTING LINES**: Hierarchical reporting: BNPP AM Luxembourg Chief Compliance Officer (CCO) or Deputy CCO
**FUNCTION**: Compliance Officer at BNP Paribas Asset Management Luxembourg SA
**INTERACTIONS**: BNP Paribas AM Luxembourg KYC teams (Centre of Expertise), AML/CTF Conducting Officer, BNP Paribas AM Luxembourg Chief Compliance Officer, CEO, AM Business teams, Global AM Compliance and Domains, Territory Compliance in Luxembourg, transversal teams, BNP Paribas AM Client Service Luxembourg coverage teams
**Areas of intervention***
Under the authority of the Chief Compliance Officer, the compliance officer contributes to ensuring that BNP Paribas Asset Management Luxembourg framework complies with the Group rules and the Luxembourg regulations in force, as regards
- Prevention of money laundering, fight against corruption and terrorism financing, compliance with sanctions and embargoes
- Compliance with the Professional Ethics, Market Integrity, Clients Interest’s protection and other compliance related rules
- Deployment and implementation of Compliance permanent control framework and follow-up of concrete action plans
- Deployment and/or adaptation of Compliance policies and procedures
The scope of activity covers the different activities of BNPP Asset Management Luxembourg.
**DEFINITION OF**_ _**RESPONSIBILITIES**
For the entity and scope under his coverage, the Compliance Officer contributes to the following mission:
- Contribute to the implementation of an efficient compliance framework
- Enforce compliance rules consistent with Group Compliance requirements and in line with applicable laws and regulations.
- Provide reasonable assurance to Global Head of BNPP AM Compliance, and BNPP AM Luxembourg CEO as well as to BNPP AM Luxembourg governance bodies and regulators that up-to-date policies and procedures, and adequate compliance set-ups are in place and applied within the entity.
The main purposes of the compliance framework are:
- To detect any risk of non-compliance with the professional obligations applicable to the entity; and
- To take any measures to minimize the consequences of non-compliance by BNPP AM Luxembourg with its professional obligations.
**MAIN ACTIVITIES**
- **In terms of advice**
- Contribute to define the organisation and governance of the compliance framework
- Contribute to provide support and guidance to the Management and Business teams in a proactive manner and when needed or requested (e.g., RFP, due diligence visits, audits)
- Assist and advise the KYC team (Center of Expertise) as part of the due diligence carried out during clients onboarding and recertification process
- Actively contribute to the analyzis of the most complex client files
- Handle AML/CTF and customer database screening alerts escalated to the Compliance
- Advise local teams in the conduct of their mission so that they can carry out the tasks placed under their responsibility in compliance with their professional obligations
- Contribute to adapt to BNPP AM Luxembourg, the BNPP AM corporate Compliance training policy and make sure that it is tailored to local specificities, implemented, and deliver local training
- Contribute to the relevant local and global committees
- Promote staff and management awareness on Compliance topics and contribute to develop a strong Compliance culture
- **In terms of supervision**
- Deploy a consistent compliance framework (policies, controls, tools, training) within BNPP AM Luxembourg
- Contribute to update the compliance risk classification in line with business developments, Group policies and regulations
- Contribute to define and regularly update applicable compliance policies, rules, standards and methodologies.
- Monitor that compliance rules are enforced in the entity and ensure that action plans are implemented to correct any weaknesses
- Contribute to the supervision and due diligence of distributors and Third party service providers
- Contribute to ensure that the employees comply with the applicable internal rules (conduct of business, policies, training sessions ) and identify the potential situations of conflict of interests
- Advise and exercise a duty of alert with regard to the direct management and to the business lines
- Contribute to the regulatory watch on his/her perimeter
- **In terms of decision**
- Analyse at-risk clients and intermediaries files prior to their presentation to the acceptance committee
- Contribute to the Compliance decisions making and/or deliver advice on the issues escalated by local teams, in his/her scope of responsibility, according to the Group decision and escalation processes
- Analyse Compliance risks and specific issues on his/
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