Compliance and Financial Security Auditor / Principal Auditor (depending on experience)
- Recruiter
- BNP Paribas
- Location
- London, United Kingdom
- Salary
- Competitive
- Posted
- 16 Oct 2020
- Closes
- 02 Nov 2020
- Ref
- 281223160
- Job role
- Accountant
- Sector
- Accounting - Public practice
Bank Overview
BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 71 countries, with more than 198,000 employees, including around 151,000 in Europe. The Group has key positions in its three main activities: Domestic Markets, 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.
BNP Paribas Corporate and Institutional Banking is a globally recognised leader offering capital markets, securities services, financing, treasury and advisory solutions.
Business Area/Dept Overview
Within Inspection Generale (IG), you will operate as a member of the Hub Paris CIB, UK & ME Regions, which is a geographical Hub, covering all activities in the UK, Ireland and the Middle East, along with CIB activities in Paris and South Africa.
The Hub has seven audit teams (around 90 auditors), with four based in the UK and with one in Paris, Ireland and the Middle East respectively. These teams are split by business activity covering all activities within their area of responsibility. Each team is headed by a Deputy Head of Hub reporting to the Head of Hub who, in turn, reports to a Deputy Head of IG.
The Hub's remit is to provide audit services to the Businesses, Operations and Functions in France, UK, Ireland, Channel Islands and Middle-East in close liaison with Senior Management and Head Office entities. The main focus is to help the organisation accomplish its objectives by bringing a systematic approach to evaluate and improve the effectiveness of the governance, risk management, and internal control processes.
The Audit Hub provides employees with an excellent grounding in all aspects of the business, and regular interaction with Management enables strong relationships to be built, allowing a robust understanding in all aspects of the businesses.
Inspection Generale is recognised internally as a key talent pool within the BNP Paribas Group. Having performed successfully in this role, the individual will have the benefit of a broad range of career opportunities within the Group - both within Internal Audit and wider business lines/functions; in the UK and abroad. A comprehensive training programme is in place to ensure continued professional development.
Purpose & Scope of role
As a member of the Hub's Compliance & Financial Security Audit team (approximately 9 auditors), you will have responsibility for undertaking audit reviews focused on Regulatory and Compliance risks mainly for CIB in the UK and France; and on Financial Security risks across all UK Businesses (e.g. Insurance, Asset Management, Real Estate, Factoring, Personal Finance) and CIB in France. The Auditor / Principal Auditor will play an active role in the Paris CIB, UK & ME Regions Hub, performing risk-based audit reviews as part of a team and recommending solutions to identified issues and weaknesses.
To complement the existing skillset within the audit team by means of contributing knowledge (including but not restricted to knowledge of relevant regulations and activities) grounded in practical business experience.
Key Responsibilities of role
Specific responsibilities associated with this role include:
1. Participation in audit assignments as a member of an audit team with responsibilities to include:
Ensuring the timely performance of his or her parts of the assignment whilst having regard to the main risks detailed in the Risk and Related Control Matrix.
Ensuring that the Head of Assignment is kept updated with the progress of the assignment on a continuous basis.
Preparation of summaries and conclusions to the phases of the assignment under his or her responsibility for review and approval by the Head of Assignment and lead the presentation of these to the relevant auditees.
Input of all missions and associated documentation to the required Hub and IG standard into the Hub audit drive and UNIK.
Willingness to travel if necessary (mainly UK, Channel Islands and Paris)
2. To assist the Deputy Head of Hub in performing other audit related tasks such as the annual risk assessment, requests for audit recommendation closure etc.
3. Perform or participate in ad-hoc projects and investigations including Quality Assurance Reviews, Regulatory assignments and follow up of IG missions; non-lead role in detailed investigation of incidents (Special Assignment status).
4. Contribute to the maintenance and development of the Internal Audit department, in particular the tools and techniques used.
Experience, Qualifications & Competencies
Essential experience
Knowledge of UK, French and EU Regulations and / or of products and market practices related to 1 or more of the business lines this role supports, likely to be gained in a Compliance position and/or
Proven experience from an internal/external audit or consultancy background covering e.g. quality assurance, project management, risk management or specifically operational risk.
Essential competencies
Strong analytical skills: including ability to understand quickly the critical steps in a process, synthesise and process complex information and understand the related risks of various natures, including use of data.
Good drive: motivated and proactive
Thorough and organised with an ability to prioritise and work under time-pressure.
Strong communication skills: ability to listen, clear oral and written communication.
Ability to work in a team.
Preferred qualifications
Academic background in Finance / Banking and/or
IIA certification and/or
Professional accountancy qualification
Primary Location: GB-ENG-London
Job Type: Standard / Permanent
Job: PERIODIC CONTROL
Education Level: Not indicated
Schedule: Full-time
Reference: INS000212
BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 71 countries, with more than 198,000 employees, including around 151,000 in Europe. The Group has key positions in its three main activities: Domestic Markets, 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.
BNP Paribas Corporate and Institutional Banking is a globally recognised leader offering capital markets, securities services, financing, treasury and advisory solutions.
Business Area/Dept Overview
Within Inspection Generale (IG), you will operate as a member of the Hub Paris CIB, UK & ME Regions, which is a geographical Hub, covering all activities in the UK, Ireland and the Middle East, along with CIB activities in Paris and South Africa.
The Hub has seven audit teams (around 90 auditors), with four based in the UK and with one in Paris, Ireland and the Middle East respectively. These teams are split by business activity covering all activities within their area of responsibility. Each team is headed by a Deputy Head of Hub reporting to the Head of Hub who, in turn, reports to a Deputy Head of IG.
The Hub's remit is to provide audit services to the Businesses, Operations and Functions in France, UK, Ireland, Channel Islands and Middle-East in close liaison with Senior Management and Head Office entities. The main focus is to help the organisation accomplish its objectives by bringing a systematic approach to evaluate and improve the effectiveness of the governance, risk management, and internal control processes.
The Audit Hub provides employees with an excellent grounding in all aspects of the business, and regular interaction with Management enables strong relationships to be built, allowing a robust understanding in all aspects of the businesses.
Inspection Generale is recognised internally as a key talent pool within the BNP Paribas Group. Having performed successfully in this role, the individual will have the benefit of a broad range of career opportunities within the Group - both within Internal Audit and wider business lines/functions; in the UK and abroad. A comprehensive training programme is in place to ensure continued professional development.
Purpose & Scope of role
As a member of the Hub's Compliance & Financial Security Audit team (approximately 9 auditors), you will have responsibility for undertaking audit reviews focused on Regulatory and Compliance risks mainly for CIB in the UK and France; and on Financial Security risks across all UK Businesses (e.g. Insurance, Asset Management, Real Estate, Factoring, Personal Finance) and CIB in France. The Auditor / Principal Auditor will play an active role in the Paris CIB, UK & ME Regions Hub, performing risk-based audit reviews as part of a team and recommending solutions to identified issues and weaknesses.
To complement the existing skillset within the audit team by means of contributing knowledge (including but not restricted to knowledge of relevant regulations and activities) grounded in practical business experience.
Key Responsibilities of role
Specific responsibilities associated with this role include:
1. Participation in audit assignments as a member of an audit team with responsibilities to include:
2. To assist the Deputy Head of Hub in performing other audit related tasks such as the annual risk assessment, requests for audit recommendation closure etc.
3. Perform or participate in ad-hoc projects and investigations including Quality Assurance Reviews, Regulatory assignments and follow up of IG missions; non-lead role in detailed investigation of incidents (Special Assignment status).
4. Contribute to the maintenance and development of the Internal Audit department, in particular the tools and techniques used.
Experience, Qualifications & Competencies
Essential experience
Essential competencies
Preferred qualifications
Primary Location: GB-ENG-London
Job Type: Standard / Permanent
Job: PERIODIC CONTROL
Education Level: Not indicated
Schedule: Full-time
Reference: INS000212
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