Compliance Officer

Role: Compliance Officer

Notice Period: Immediate - 30 days

Work Mode: Hybrid

Position Purpose

The Compliance Officer plays a key role in implementing the BNP Paribas Code of Conduct, Group Compliance Policies, and local regulatory requirements across the India Solutions Pvt. Ltd. (ISPL) platform. The role ensures that robust controls and monitoring frameworks are in place, regulatory commitments for offshoring activities are met, and compliance risks are effectively managed in coordination with various stakeholders, both locally and globally.

Key Responsibilities

Direct Responsibilities

1. Policy Implementation & Monitoring

• Implement and monitor adherence to Group Compliance policies, particularly in areas such as:
• Personal Account Dealing (PAD)
• Gifts & Invitations
• Outside Business Interests
• Anti-Bribery & Corruption (ABC)
• Professional Code of Conduct
• Manage Professional Ethics and Financial Security related controls across employees, vendors, and clients.
• Review and implement new Compliance policies as per Group and local regulatory updates.

1. Transition Documentation Review

• Review Service Level Agreements (SLAs), Activity Review Process (ARP), and Risk Assessments (RA) from a Compliance standpoint.
• Engage with service recipient Compliance teams to gather inputs and ensure their conditions are incorporated.
• Maintain a comprehensive repository of Compliance approvals related to transitions.

1. Compliance Training & Awareness

• Facilitate mandatory and targeted compliance training programs for ISPL staff.
• Regularly disseminate policy updates, major changes, and compliance reminders via internal communication channels.

1. Control Framework Implementation

• Roll out and perform compliance controls aligned with local and recipient country regulatory requirements (e.g., Voice Recording, Chinese Wall).
• Analyze control results and initiate appropriate remediation plans.
• Monitor outsourcing-related incidents and drive follow-up actions.
• Conduct regular compliance check and challenge exercises on RCSAs and control plans.
• Evaluate outsourcing and technical assessment queries from a compliance perspective.

1. Reporting & Governance

• Prepare MIS, dashboards, and other compliance-related reports as required by management and regulators.

Contributing Responsibilities

• Liaise and coordinate with various departments, functions, and countries.
• Drive awareness and communication initiatives on compliance matters across all organizational levels.
• Support new compliance initiatives and participate in relevant projects.
• Prepare compliance materials for internal committees and governance forums.

Technical & Behavioral Competencies

• Solid knowledge of capital markets, compliance risks, and financial security (KYC, AML, Sanctions).
• Experience in compliance, risk management, audit, inspection, or permanent control functions preferred.
• Familiarity with global banking structures and regulatory expectations.
• Strong verbal and written communication skills in English.
• Excellent stakeholder management and interpersonal skills.
• High degree of initiative, integrity, and problem-solving ability.
• Ability to work independently and under pressure in a fast-paced environment.

Preferred Qualifications:

• Bachelor's/Master's degree in Law, Finance, Business Administration, or related fields.
• Professional certifications in Compliance or Financial Crime (e.g., CAMS, ICA, CFE) are an added advantage.

Interested candidates, please drop your resume to [Confidential Information] or 8946064544.