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Specialist Compliance Officer Full-time

de BNP Paribas em Lisboa (Publicado em 19-03-2020)

BNP Paribas is a leading European bank with an international reach. It has a presence in 72 countries, with more than 202,000 Employees ? including more than 154,000 in Europe and over 5,000 in Portugal alone.

BNP Paribas is present in Portugal since 1985, having been one of the first foreign banks to operate in the country. Today, BNP Paribas has several entities operating directly in this territory, offering a wide range of integrated financial solutions to support its clients and their businesses.

Worldwide, the Group has key positions in its three main activities: Domestic Markets and International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises: corporate clients and institutional investors. The Group helps all its clients (individuals, community associations, entrepreneurs, SMEs, corporate and institutional clients) to realise their projects through solutions spanning financing, investment, savings and protection insurance.

The Compliance Function is an independent and integrated function of BNP Paribas Group. The overall mission of Compliance is, through second level control, to give reasonable assurance to senior management, that compliance, regulatory and and reputational risks within Compliance Territory Portugal scope (CIB, Securities Services and Factor) are monitored, controlled and mitigated as relevant.

Reporting to the Deputy Head of Territory Compliance in charge of the management of the Professional Ethics, Protection of Interest of Clients and Projects within Compliance Territory Portugal.



  • Provide advice on Compliance topics, in particular on PE and PIC domains through a critical analysis of the applicable Group/Local policies and procedures, clear guidance and decision making for established or project activities, respectively on Ethical classification, Gifts & Invitations, Outside Business Interests, Whistleblowing, Professional Licences and Professional Knowledge subjects, for the Professional Ethics domain, and on Suitability, Information, Conflict of Interests and Clients Complaints, for the Protection of Interest of Clients domain

  • Contribute to Risk Assessment, Document Review, relevant Meeting or Committees (i.e. TAC-NAC, Transformation Committee, New Product

  • Committee, Client Acceptance Clients, or equivalent)

  • Ensure traceability of the advice provided for audit trail purpose

  • Prevent, identify, mitigate and report any PE and PIC-related risks and corrective actions through the established escalation channels

Audit & Controls:

  • Define and implement internal controls for an efficient oversight of the PE and PIC Framework; keep traceability of the controls performed for regulatory reporting/audit purposes; define and implement any required action plans

  • Liaise with the Permanent Control team by providing the relevant information for the execution of the Generic Control Plans on PE and PIC, making follow up of action plans

  • Contribute to audit missions on PE and PIC by providing the relevant information promplty and clearly; follow up audit recommendations may result from audit missions on PE and PIC; define and implement the corrective actions defined within the due date agreed


  • Contribute to develop the PE and PIC Compliance Framework within Territory Compliance Portugal through local regulatory watch, definition and/or local transposition in case of exceptions, implementation of the applicable Group/local policies and procedures

  • Contribute to regulatory or group reporting (i.e. Banco de Portugal, the Group)


  • Establish a clear communication with key stakeholders inside / outside Compliance.
  • Contribute to promote a strong culture and awareness of the applicable

  • Compliance procedures by providing an effective training to all staff

  • Faciliate an effective deployment of the annual training plan locally, based on Group Compliance guidelines


  • Understanding of regulation and financial markets

  • Fluent in English (both oral and written communication)

  • Evidence of drive, curiosity, good judgment and good attention to detail

  • Excellent team spirit and ability to work with remote teams across multiple locations

  • Rigorous, well-organised with a structured and logical approach

Please note that only applications submitted in English will be considered.

In case you are selected for this role, further documentation will be requested to support your hiring process.

BNP Paribas is an equal opportunity employer and proud to provide equal employment opportunity to all job seekers. We are actively committed to ensuring that no individual is discriminated against on the grounds of age, disability, gender reassignment, marriage or civil partnership status, pregnancy and maternity, race, religion or belief, sex or sexual orientation. Equity and diversity are at the core of our recruitment policy because we believe that they foster creativity and efficiency which in turn increase performance and productivity. We strive to reflect the society we live in, while keeping with the image of our clients.

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