Key Responsibilities As Head of FM Business Advisory Senior Compliance covering CIB Japan
Ensure and preserve BNPP's value and reputation through day-to-day advice to the business and the functions
Lead and motivate the team, train junior Compliance officers as necessary
Have a good communication and coordination with global and regional FM Compliance colleagues as well as the Domains Compliance Officers.
Advisory-Related Responsibilities within operational perimeter
Provide advice to the Financial Markets perimeter, mainly around Global Macro and Global Credit,) on Compliance issues
Support the Co-Head of MI Domains and Financial Markets Advisory Compliance and other team members with regard to the business areas covered by the team but is not mentioned in the above point
Work closely with Global Banking Advisory Compliance officers when necessary and take a leading role from the perspective of Shoken Compliance for transversal situations across Shoken and Ginko
Work closely with Compliance Domain Responsible Officers locally (who are handling transversal topics) when necessary and support them
Ensure consistency of decisions and operating models through close cooperation with other Compliance officers and business lines
Provide training sessions to the teams including both front office and functions of the relevant operational perimeter regarding rules, regulations, policies and procedures within the operational perimeter
Ensure high level regulatory watch, define and update internal policies and procedures according to changes of rules and regulations, and coordinate with the Regional and local functions (e.g. Legal, RISK, local COO), in order to anticipate new regulations and contribute to adapt the Bank’s control framework accordingly
Participate in communication with regulators, including inspectors, and participate to regulator relations (e.g. contribute to written answers to specific requests, etc.) when necessary, and provide timely and accurate regulatory submissions
Contribute to control plans (including regulatory controls, support businesses in FSA, etc. controls) as applicable
Ensure maintenance as well as continued implementation / development of the Group’s internal control framework, internal control plans, Compliance standards and procedures
Develop and maintain expertise, advise and assist relevant business lines and functions operating in the area of general Compliance
Contribute to, participate in and coordinate specific investigations, as necessary
Coordinate with the regional/global Business Advisory and Domain Compliance teams for any relevant matter
Report on the above to Compliance Management promptly and accurately through the relevant channels and to assist and coordinate with stakeholders within/outside of Compliance as per necessary
Contribute to the Permanent Control framework
Help ensure that Compliance continues to contribute to BNP Paribas’ Permanent Control framework.