Vice President TRM Lead

Transversal Risk Management team within Compliance is responsible for 1LoD controls (on Compliance processes) and 2LoD controls (on business processes). The individual would lead a team of 12 analysts with 1 or 2 direct reporting leads with a two-team setup: one team focused on performing control testing for KYC, another focused on performing control testing for other domains such as AML, Financial Sanctions, Professional Ethics, Market Integrity and Protection of Clients Interests (PIC).

‍Responsibilities

Direct Responsibilities

‍The Primary Responsibilities Are Outlined Below

Lead a team of analysts in deployment of a robust Compliance control framework across the region, with the execution of independent testing / 2nd level controls

• KYC Control testing
• Non-KYC Control Testing notably Financial Security (AML and Sanctions), Professional Ethics (PE), Market Integrity (MI) and Protection of Clients Interest (PIC)
• KYC Control Testing
• Execution of Independent Testing plans mainly focused on verification & re-performance of 1LoD KYC controls
• Non-KYC Control Testing, notably Financial Security (AML and Sanctions), Professional Ethics, MI and Protection of Clients Interest Compliance domains
• Execution of Compliance Controls on non-KYC matters
• Management of transversal Compliance risk assessment initiatives, governance and reporting
• Tracking of Compliance-owned recommendations to ensure that corrective actions are implemented within agreed timeframe
• Follow-up of Compliance related incidents and ensure appropriate action plans are implemented
• Execution of Compliance procedure governance for supporting appropriate implementation of procedures throughout the Compliance organization, in collaboration with local procedure managers.
• Team
  
  

Management

• Mentoring and coaching team members to ensure growth and sustainability within the team and help keep attrition minimal
• Ensure hiring for replacements / expansions are carried out in a timely manner
• Identify any training needs / gaps for team members and ensure training plan is put in place and tracked
• Regular 1:1 with team members
• o Provide managerial direction and oversight on team activities / tasks performed for onshore
• Governance
• Serve as a primary point of contact for onshore/Stakeholders
• Ensure necessary governance and controls are put in place and tested for processes managed this includes BCP, SOP, LOUs and SLAs
• Perform quality assurance and other review activities as required. This may include periodic reporting, recurring management updates and various forms of issue tracking
• Ensure TAT adherence and any breaches / errors are reported to the right forum along with a corrective action plan in place
• Complete understanding of the process to be able to provide guidance to the team and help identify risks and methods to mitigate them
• Contributing Responsibilities
• Ensure clear and crisp communication with onshore as well as local team.
• Ability to work and deliver on reports and projects, which requires a high degree of flexibility and strong prioritization skills
• Comply with procedure and other relevant policies/ procedures of BNP Paribas group and regulations, and industry best practice
• Be supportive and adoptive to changes of procedures and scope of work
  
  

Technical & Behavioral Competencies

• Experience in the Banking industry and knowledge of Compliance domains like AML/KYC/Sanctions, PE, MI and PIC
• Experience in Compliance Risk
• Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff
• Strong ability to meet deadlines
• Strong Stakeholder Management skills
• Sense of precision and attention to detail in maintaining documentation and audit trails
• Must have strong interpersonal skills, a flexible, collaborative and team-oriented approach to problem solving and an ability to work in a fast-paced, rapidly changing environment.
• Experience in team handling and people management
• Proficient in Microsoft Excel and PowerPoint.
  
  

Specific Qualifications (if Required)

• Bachelor's degree or higher from an accredited institution
• Audit experience
  
  

Skills Referential

Behavioural Skills:

Decision Making, Resilience, Critical thinking, Client focused

‍Transversal Skills

Ability to anticipate business / strategic evolution

Ability to inspire others & generate people's commitment

‍Ability To Develop Others & Improve Their Skills

Ability to develop and leverage networks

Ability to set up relevant performance indicators

‍Education Level

Bachelor Degree or equivalent

Experience Level

At least 15 years