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Compliance Officer - BNP Paribas Asset Management

Locatie: Amsterdam

We are currently looking for a medior/senior compliance officer for the period from October 2019 – April 2020 (replacement during maternity leave).

Role Description and purpose
To encourage and cultivate a Compliance culture and Compliance awareness amongst management and employees. To maintain compliancy policy reputation for reliability and integrity by observing its codes of conduct, the applicable laws, rules and regulations. The scope of the compliance risk involves all laws and regulations that have been issued by legislating and regulating authorities, as well as self-regulation of BNP Paribas Asset Management NL (BNPP AM NL), which concern the operational management of BNPP AM NL (elaboration of procedures, control mechanisms) following the Group policies and procedures.

Key responsibilities

  • Identification and analysis of risks and regulations relevant to the activities of the Company (current and planned): to stay informed of all existing and new requirements and to assess and report on their impact on BNPPAM NL business, organization and control environment.
  • Compliance policies and procedures setting: to elaborate on all compliance policies set by BNPP Group and AM in order to ensure compliance with legal, statutory, contractual and internal requirements.
  • To advise on specified questions and general Compliance issues.
  • Reporting: to help supply properly and timely required reporting to the regulatory authorities, internal committees and BNPP AM Group Compliance.
  • Participate in various committees, e.g. with respect to the acceptance of new clients/products.
  • Develop, maintain and execute compliance monitoring programs. Perform compliance reviews by gathering, properly documenting and accurately analysing information and evidence on the existence of risks and the effectiveness of control measures (by interviews, observations, file review, risk analysis, reconciliation, organisational analysis and diagnosis) including follow up and remediation on issues detected through the compliance reviews as well as resulting from other channels (compliance reports, regulator recommendations/internal audit etc.);
  • Development of controls: to assist designing and executing control procedures and tools to allow effective first level control within BNPP AM NL.
  • Provide training to employees if and when required.
  • Incident/Claims handling: to ensure incidents/claims are properly handled and review compensations to clients from a compliance point of view.
  • To treat and follow up any request from regulatory authorities.
  • Review and approval of marketing material as well as other external communication.

Key Internal / External Relationships

Internal:

  • All BNPP AM NL departments (e.g. Sales, Marketing, Legal, Investments)
  • BNPP AM entities other than AM NL
  • BNPP AM domains at central compliance level (e.g. Financial Security, Client Protection, Market Integrity etc.)
  • Group Compliance and Group Audit

External:

  • Regulatory Authorities
  • External auditors and other advisors

Role Requirements
Essential qualifications & experience

  • Bachelor/Master degree or equivalent, preferably Economics or Legal
  • Minimum of 5 years relevant work experience in evaluating Compliance and regulatory issues.
  • Knowledge and experience with (international) rules and regulations regarding Asset Management business (e.g. MiFID, AIFMD, UCITS, EMIR)
  • Result oriented: delivers personally to a high standard and takes actions to ensure that others do the same
  • Influencing: the ability to influence at all levels in order to achieve commitment to agendas, decisions and ideas
  • Working Collaboratively: able to maximize effectiveness within own team, across the international network and matrix organisation.
  • Interpersonal understanding: respectfully shows high level of self-awareness, understands impact of own behavior on others and also has a sense of humor.
  • Clear and (if necessary) forceful communicator
  • Aim at excellence in any circumstance by showing great pro-activity and reactivity in the interaction with all stakeholders and inspiring trust and reliance from such stakeholders as to the quality of the service provided
  • Providing accurate, precise and pragmatic analyses, answers and advice
  • Languages required: Dutch (native) and English

BNP Paribas Asset Management
BNP Paribas Asset Management is the investment management arm of BNP Paribas, one of the world’s major financial institutions. Managing EUR 399* billion in assets as at 31 December 2018, BNP Paribas Asset Management offers a comprehensive range of active, passive and quantitative investment solutions covering a broad spectrum of asset classes and regions. With more than 530 investment professionals and around 500 client servicing specialists, BNP Paribas Asset Management serves individual, corporate and institutional investors in 71 countries around the world. Since 2002, BNP Paribas Asset Management has been a major player in sustainable and responsible investing.

* Managing and advising EUR 537 billion in assets as at 31 December 2018

Location:
Amsterdam

Information and application:

Apply:

Please send your application for Compliance Officer at BNP Paribas Asset Management in Amsterdam including your CV via AMNL.HR@bnpparibas.com.

Job posted

26 juli 2019

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Contactgegevens

CareerGuide

Transistorstraat 7
1322 CJ Almere

Postbus 60184
1320 AE Almere

Tel: 036 - 7440 136

KvK 32090652
ING Bank NL91INGB065.42.67.456
BTW NL.8106.57.041.B01

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Ook een vacature plaatsen? Neem contact met ons op:


Nienke Smit   Pieter Lammers
Nienke Smit
n.smit@careerguide.nl
06-41454957
  Pieter Lammers
p.lammers@careerguide.nl
06-41454956
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