COMPLIANCE OFFICER PI

Descripción de la oferta

JOB DESCRIPTION / DUTIES / RESPONSIBILITIES:

Continuing Functions:

The main functions of a member of the PI Compliance Department, reporting functionally and hierarchically to the Head of Compliance PI, are:

· To cooperate to ensure that all PI activities are carried out in accordance with the requirements of applicable law concerning Anti-Money Laundering, regulation of the securities market and collective investment institutions, Customer Protection and rules of conduct at large.

· To collaborate to ensure PI and Group's reputation and image in Spain, through the publication of appropriate procedures and controls.

· To collaborate to the implementation, application and monitoring of the procedures and controls on AML, securities markets (MiFID and Market Abuse), and Rules of Conduct, as well as those stemming from internal regulations (BNPP Group Policies).

· To execute the applicable controls mainly on AML, MIFID & Mkt Abuse Domains.

· To cooperate in the review of handled information, both within and outside the Group, to ensure compliance with regulatory requirements –especially regarding all promotional material concerning products, campaigns, etc., sent to clients of every business lines.

· To control the observance of information barriers (Chinese walls) existing between different business lines and Group entities.

· To provide training on all these issues to all business lines and functions, in order to raise awareness of compliance, and make every member of a business line have knowledge of the regulations to which it is subject. To coordinate as well training to newcomers.

· Development and adaptation of the rules of conduct, in accordance with Spanish regulations and Group internal policies.

· Contact and coordination with CNMV (Spanish securities markets regulator) as well as with SEPBLAC (Bank of Spain AML Executive Service).

Additionally, within the task of Customer Protection carried out by the Department:

· To collaborate in the independent treatment of every business line's customer complaints.
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Occasional Functions:

▪ Punctual advice to employees regarding several issues (regulation, internal procedures…). These kind of queries are very frequent and informal, though sometimes are formalised in Authorization Committees (NACs, TACs, CACs…)

Languages

English: required