MAIN JOB PURPOSE

• The Head of KYC & Due Diligence role is a critical component of the Business Implementation department and wider business, responsible for client AML & due diligence and working in close collaboration with the Head of Client Implementation and the Head of On Boarding and Regulatory Reporting.
• Managing a team responsible for the Client On-boarding, Transfer of Interest, and Recertification in accordance with Group and Regulatory procedures, Trigger event, Screening and document loading into electronic “Vaults.”
• Acting as the point of contact for meetings in respect of on-boarding new business, interacting with Clients, On-Boarding Managers & Client Development. This role will include representing the Business Implementation team during Client Due Diligence visits, Regulatory visits and Audit meetings etc.
• Responsibility for the production and presentation of regular Management Information, KPI and AML Statistics internally to various committees to ensure all annual targets and Governance requirements are met and externally to client Due diligence meetings.
• Contribute to ongoing operational efficiency initiatives as part of the Industrialisation and Transformation journey, Group or Local projects developed within the team to enable us to provide a more ‘streamlined’ service to Clients. 
• Working in collaboration with the other members of the Business Implementation Department, providing guidance and expertise when required, to contribute to the success of the wider team, and staff in other BNP Paribas Securities Services locations.
• When opportunities are identified to leverage our delegation arrangements with and future outsourcing centers for the team to take part of the process and maintain good relationship with those centers enabling us to service our clients efficiently and effectively.

KEY RESPONSIBILITIES

• Leadership of the KYC / DD team providing coaching and direction, undertaking regular 1-2-1’s, holding Team meetings, responsible for the Annual Appraisal process, the team succession plan and promoting Code of Conduct.
• Works closely with the Head of Business Implementation to manage workloads, resources, controls and reporting, ensuring compliance with Group & Local policies and procedures.
• Work with the wider Business Implementation team and other BNP Paribas Securities Services locations to identify synergies and alignment of recertification schedules/ requests for client recertifications.
• Develop and maintain strong relationships with internal and external stakeholders with regarding to On-boarding, Transfer of Interest, Trigger event and Recertification
• Manages team workloads and deadlines by ensuring absence is covered, provide training and coaching to the teams/ members to a standard where they can work with minimal supervision and key person risks are minimised.  
• Ensure appropriate BNP systems are updated accurately and processed in a timely manner following notification of changes. 
• Reviews and validates AML/KYC files including FATCA/ CRS & AEOI, performing 4 eye checks.
• Provides oversight of the team mailboxes with the query management system “Hobarts” ensuring prompt responses/ escalation as required.
• Be the escalation route within the team, adhering to the Client Complaint procedures and the Controls & Risk framework.
• Draft and maintain Client due diligence policy and be the point of contact with regards to related questions.
• Oversee Level 1 Controls, ensuring the team operate within the policies and procedures in place.
• Primary contact point for all regulatory visits and requests for information. Ownership of the co-ordination of IG visits, managing actions points in reaction to findings or feedbacks for improvement.
• Undertakes the role of Business Acceptance Committee (BAC) and Client Acceptance Committee (CAC) secretary when required, coordinating meetings, producing the agenda, distributing documents, in line with procedure, taking minutes and producing the action log to BAC/ CAC and Client Development.
• Oversee the delivery of approved intermediaries re certifications and new requests through the management of the CDD manager when required.
• Work with the Head of Business Implementation to implement new policies and procedures recommendations from level 1 controls and local and group audits recommendations to ensure the team is complaint with the desired requirements.
• Coordinate, contribute and oversee the review of the CCSC monthly report and ensure the preparation and running of the CCSC.
• Contribute and participate in projects and tasks within the Business Implementation Department when required.
• Contribute to ongoing operational efficiently initiatives such as digitalisation and automation developed with the team to enable us to provide a streamlined service and deliver efficiencies to Clients. 
• Escalate risks and issues to the Head of Business Implementation in a timely and efficient manner.
• Work in collaboration with other teams and departments within BNP Paribas such as Compliance, to deliver consistently high levels of client service.
• Keep up to date with regulatory changes.
• Undertake all mandatory compliance training within deadlines specified.
• Adhere to the Group’s Code of Conduct. 

TECHNICAL SKILLS

• A minimum of 5 to 10 years of due diligence experience in a similar environment. 
• KYC on boarding experience including multijurisdictional and complex structures with various types of funds, including Private Capital Structures and the underlying entities. 
• Team Management experience
• Comprehension of local AML regulatory standards
• Holds a professional qualification in Compliance, AML, or ICSA or equivalent 
• Experience with FATCA & CRS & AOEI regulatory requirements

BUSINESS SKILLS – ESSENTIAL REQUIREMENTS 

• Know Your Customer – Knowledge of main types of business relationships and key internal standards at identification, assessment and decision phases. 
• Financial Security – Knowledge of key regulations, procedures and major components of internal risk framework linked to Sanctions & Embargoes, AML, fight against corruption & terrorist financing. 
• Risk Analysis – Ability to set up criteria to define and analyse risk levels. 
• Holds a professional qualification in Compliance, AML, or ICSA or equivalent 

BUSINESS SKILLS – DESIRED REQUIREMENTS

• Experience in contributing to Regulatory Reporting such as NRA.
• Knowledge of complex structures and vehicle type across various global jurisdictions. 
• Familiarity and understanding of the local Jersey and Guernsey AML/CFT Handbook as well as the “three -tier-test”

TRANSVERSAL SKILLS – ESSENTIAL REQUIRE

• Proven Ability to lead Teams with accountability for tasks with deadlines, providing direction & guidance to others.
• Teamwork – Ability to work as part of a team, providing support, guidance and benefit of expertise to others to achieve common goals. 
• Develops Others – Coaches and develops others by sharing knowledge and expertise.
• Strong communication skills – excellent verbal and written skills, capable of presenting complex information clearly to internal teams and ensuring each audience receives the appropriate level of detail
• Inspire Others – Act as a role model for the Group’s values and be Self-motivated and goal oriented. 

TRANSVERSAL SKILLS – DESIRED REQUIREMENTS 

• Proven ability to deliver whilst working under
• pressure.
• Experience of staff management, ability to manage multiple tasks and deadlines.
• Computer literacy to input, review and validate data and pull report. 

BEHAVIOURAL SKILLS – ESSENTIAL REQUIREMENTS

• Excellent Organisational Skills – Consistently readjusts the activities and organisation of multiple tasks in order to cope with changing priorities. 
• Client Focused – Helps to develop client and investor relationships, establish a trustworthy relationship with a client centric approach and encourages other to act accordingly. 
• Resilience – Exercises a calming influence on others in stressful situations. Demonstrate flexible and positive attitude
• Excellent Attention to details – Focuses on the prevention of mistakes regarding information delivered. Works carefully and precisely in accordance with applicable processes. 

BEHAVIOURAL SKILLS – ESSENTIAL REQUIREMENTS

• Ability to adapt and deal with time sensitive and evolving priorities and workloads. 
• Previous experience in Client Delivery environment with exposure to internal committee such new business
• acceptance and / or client acceptance, KYC committees.
• Problem Solving: Versability and ability to use initiative and judge when to escalate problems.

REGULATORY REQUIREMENTS

• Holder of local housing qualifications or licence. 
• Completion of mandatory 35 hours CPD
• Is the employee a “Principal Person” *? No  
• Is the employee a “Key Person” *? No
• Is the employee a “Senior Manager” *? Yes