[New Job Vacancy] Vice President – Compliance and Conduct Auditor job in BNP Paribas, (Mumbai, Maharashtra) – Jobs in Mumbai, Maharashtra

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Job Opening details:-
Company Name :-
BNP Paribas
Position Name :-
Vice President – Compliance and Conduct Auditor
Company Location :-
Mumbai, Maharashtra
Job Category :-
Back Office jobs

Full Job Description :-
Job Description

Job Title:
Operational Risk Officer – Independent Control Testing – Risk ORM GM APAC support


Business Line / Function:
Reports to:
Lead – ISPL RISK ORM Independent Control Testing

(if applicable)

Number of Direct Reports:
Directorship / Registration

Department Overview

RISK Operational Risk & Control GM (RISK ORC GM) belongs to the second line of defence of BNP Paribas. It belongs to the Risk Function (RISK) of BNP Paribas and is placed under the responsibility of the Chief Risk Officer.
RISK ORM APAC mission is to provide RISK and APAC Management with a front to back consolidated view on operational risks of APAC activities in order to contribute to the reduction of operational risk and to better respond to Regulator’s expectations. RISK ORM APAC mandate is to challenge and supervise the Operational Risk management of APAC activities.

Key Responsibilities

This position is acting as the transversal control testing dedicated to support RISK ORM APAC to ensure the establishment and comprehensive execution of generic control plans(s) defined with the scope of the team. This role has a special focus on regulatory reporting.
The role of RISK ORM GM is to ensure that the operational risk management framework is implemented and operating effectively across GM APAC activities.
As the 2nd line of defense, the team is responsible for
Governance & Framework
To ensure proper implementation and application of RISK Governance which to be inline with Group & APAC governance
To assist and support the 1st Line of Defense on the extension of the Operational Risk management (ORM) framework, and to ensure its compliance with guidelines, as well as its appropriate calibration to manage key risk areas
To independently challenge and supervise the 1st Line of Defense (LoD1) on Operational Risk matters in liaison with relevant teams
To contribute to the operational risk governance bodies, such as local and regional Internal Control Committees (and other operational risk forums) or projects.
Risk Identification & Assessment:
Independent challenge of the operational risk profile (actual, potential or emerging) and of the risk mitigation framework, which includes:
Regular review such as Risk & Control Self-Assessment (RCSA),
Perform independent testing reviews (including specifically regulatory reporting reviews) to assess the risks and formulate actions plans to improve the control framework
Participating to validation process (TAC/NAC), granting of exemptions or the definition of a remediation plan.
Establish the generic 2nd level control plan for the responsible scope by
following up of KRIs to take proper mitigation actions
Alerting on attention points resulting from 1st & 2nd level controls ;
Proposing and coordinating thematic controls, local assessments and oversights.
ensuring effective implementation of risk mitigation strategies, framework , follow up action plan with LoD1 and independent challenge of controls
Regulatory Reporting:
Lead the RISK ORM regulatory reporting controls testing covering all APAC territories
Prepare and supervise the execution, monitoring and remediation of regulatory reporting control findings
Hands on working experience in the regulatory reporting framework, implementation and related applications across APAC territories
Demonstrate sound knowledge on regulatory reporting related controls and processes
Ensure seamless coordination for independent testing with APAC 1st Line of Defence (LoD1) teams and Compliance CCRM
Be the main point of relay from ISPL platform and coordination with APAC stakeholders
Coordinate with the OPC teams in APAC on the implementation, execution, monitoring, reporting and remediation (if any) of regulatory reporting controls
Awareness / Training
Contributing to operational risk awareness and training on the risk mitigation framework, and development of a strong partnership with LoD1 key stakeholders, APAC stakeholders and functions

Competencies (Technical / Behavioural)

University graduate with at least 5 years of relevant experience in risk management, control function. Preferably, with relevant experience in consulting or audit background is preferable.
Prior experience or practical understanding may include but not limited to Front/Middle/Back Office, Operations or Functional role(s).
Preferred candidates should possess robust knowledge of front to back of Global market activities.
Good understanding of control techniques and logic
Good programming skills – Strong Python and VBA skills would be an advantage,
Excellent communications skills
People oriented and team player is essential

Specific Qualifications Required

Knowledge of key applicable regulatory requirements would be an advantage.

Primary Location: IN-MH-Mumbai
Job Type: Standard / Permanent
Education Level: Bachelor Degree or equivalent (>= 3 years)
Experience Level: At least 7 years
Schedule: Full-time

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