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Control Room Compliance Officer

Type de contrat

Standard / Permanent


HK-Hong Kong (HK)-Hong Kong


Hong Kong

Métier / fonction


Postuler REF: COM001483

In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 17,000 employees* and a presence in 14 markets, BNP Paribas provides corporates, institutional and private investors with product and service solutions tailored to their specific needs. It offers a wide range of financial services covering corporate & institutional banking, wealth management, asset management, insurance, as well as retail banking and consumer financing through strategic partnerships.
Worldwide, BNP Paribas has a presence in 73 markets with more than 196,000 employees. It 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. Asia Pacific is a key strategic region for BNP Paribas and it continues to develop its franchise in the region.

BNP Paribas offers you an exciting career in an international business environment that is fast-paced, diverse and focuses on creating high-value relationships with our clients. We offer competitive salary and benefits, as well as a working environment where you’re valued as part of the team.


* excluding partnerships

Position Purpose

 Working within the Firm’s Control Room and being responsible for daily control room tasks, the preparation of routine reports, and managing the Firm’s information barriers and Compliance regulations.

Key Responsibilities

 Assist with the maintenance of the Firm’s Restricted List, Watch List and Grey List
 Facilitating information barrier crossing requests and update the associated systems
 Assist in assessment and management of potential conflicts of interest
 Clearance of equity research reports; chaperoning; and pre-deal research coordination
 Assist the preparation of different periodic reports to business
 Work closely with relevant parties to support the Global Control Room projects and vision
 Enhance existing AP Control Room operating process
 Assisting in other compliance tasks as required to achieve team objectives

Competencies (Technical / Behavioral)

• Good communication and interpersonal skills with ability to build good working relationships with different business, management and other functions
• Ability to work through tasks systematically and monitor own work to ensure consistency and timeliness.
• Ability to learn and understand applicable regulatory rules and regulations and industry best practices.
• Ability and strong desire to work as part of an effective and collaborative team.
• Effective written communication skills for report writing and analysis.
• Responsible, thorough, professional and high regard for accuracy and quality
• Attention to detail, efficient and strong administration / organization skills
• Able to work under pressure

Specific Qualifications Required

• Approximately 5 years of relevant experience within compliance/ financial institutions/ professional firms an advantage
• Bachelor’s degree or equivalent in Finance, Law or related subject
• Previous experience with international banks or financial institution is an advantage

Primary Location: HK-Hong Kong (HK)-Hong Kong Job Type: Standard / Permanent Job: COMPLIANCE Education Level: Bachelor Degree or equivalent (>= 3 years) Experience Level: At least 5 years Schedule: Full-time