Compliance Officer PI Business – MISRO (Mkt Integrity Surveillance Responsible Officer)
BNP Paribas
ES, MD, Madrid
hace 17 días

Continuing Functions :

The PI MISRO reports hierarchically to the local Compliance SPOCCO of PI, who in turn reports to the Head of Territory Compliance.

He / she is in charge of coordinating Market Abuse Surveillance activity for PI Spain and is the relay of the central Market Integrity representatives within the Group.

His / her main responsibilities are :

  • To be the point of entry / contact for PI Spain on any Market Integrity Compliance related topic, assuming the role of MISRO, and acquire the requested expertise and technical knowledge to provide Advice on all MI related topics.
  • To manage and interact with the MI DOMAIN and MI PI Responsible for all the PI Spain related topics and ensure that the expected deliveries (MI risk assessment, procedures, controls and management of L2 alerts) are effectively and timely performed, and that a proper reporting is established with main stakeholders.
  • To ensure for PI Spain entity the implementation, application and monitoring of the procedures and controls on Market Integrity , as well as securities markets regulation (MiFID and Market Abuse), and Market Rules of Conduct, as well as those stemming from internal regulations (BNPP Group Policies).
  • To cooperate to ensure that all PI Spain activities are carried out in accordance especially with the requirements of applicable law concerning Market Abuse regulation , and also with the regulation of the securities market and collective investment institutions, as well as Customer Protection and rules of conduct at large.
  • To ensure full coordination with Compliance PI in MI topics .
  • To manage effectively and timely the Market Abuse related alerts , generated by the pertinent tools and ensure that if applicable, the SAR’s are duly reported to the Regulator, as well as to the Group and liaise and assume role of main contact with eventual Hubs responsible for treatment of L1 alerts (Lisbon Hub).
  • To cooperate in the deploymentof the CCRM 2LoD MI controls applicable to PI business, as well as to the definition and follow up of remediation actions.
  • To collaborate to ensure PI Spain & Group’s reputation and image in Spain are duly protected , through the publication of appropriate procedures and controls.
  • To control the observance of information barriers (Chinese walls) existing between different areas of PI Spain.
  • Follow up and Regulatory Watch for all MI related regulation.
  • To provide training on all these issues to local PI Staff (and other business lines and functions if requested), in order to raise awareness of MI Compliance topics , and ensure PI Spain staff have knowledge of the regulations to which it is subject.
  • To coordinate as well training to newcomers, if requested, with the local Training correspondent.

  • Contact and coordination with CNMV (Spanish securities markets regulator) for all MI related topics.
  • Advisory Role : Punctual advice to employees / clients related to MI Compliance topics (regulation, internal procedures, best practices ) or specific transactions or clients.
  • These kind of queries may be very frequent and informal, though sometimes are formalised inAuthorization Committees (NACs, TACs, CACs )

  • Apart from his / her MI related main responsibilities, the MISRO could have to :
  • cooperate with thePI Spain and Territory Compliance Team, if possible, to ensure that in the framework of the rest of the domains Financial Security, PIC, KYC & PE the Group policy and regulation is respected.
  • C ooperate in the independent treatment of customers’ complaints addressed to the PI SAC (Client Ombudsman), or those complaints handled at the level of the Business Line itself.

    Profile

  • Analytical / Inquisitive / Assertive. Ability and willingness to question assumptions,perform critical analysis and provide challenge to management (and colleagues) when appropriate.
  • Proactive / Autonomous. Able to operate with appropriate autonomy, take ownership of key areas of responsibility and meet challenging deadlines.
  • Good Communication / Negotiation Skills. Able to clearly and concisely communicate with staff at all levels, in both oral and written forms.
  • Able to debate and explain complex topics and principles.

    Experience / Education

  • Significant experience in MI topics : as Compliance Officer; or as an IG auditor, and previous experience in the business as Front Officer will also be valued
  • Preferable good knowledge and understanding of major Markets Regulations (such as Market Abuse, MIFID, EMIR ).
  • Graduate studies in Finance, Economics, Law, or equivalent.
  • Fluent English , and if possible French.
  • At ease with basic IT tools (word, XL, PowerPoint).
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