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Head of Prime Solutions & Financing (PS&F) and EQD Sales Compliance for APAC

Type de contrat

Standard / Permanent


HK-Hong Kong (HK)-Hong Kong


Hong Kong

Métier / fonction


Postuler REF: COM001475

Key Responsibilities


·             Provide compliance advisory services to Global Markets front, middle and back office on regulatory and compliance issues, with specific focuses on Prime Solutions & Finance business, EQD Sales and Strategic Equities businesses

·             Observe and implement missions and responsibilities of BNPP Group Compliance functions

·             Advise business on relevant new laws, rules and regulations in the  APAC  and other regions

·             Identify, manage and control compliance, regulatory and reputational risks

·             Work independently in various local compliance projects

·             Review of new product/significant transaction proposals and provide comments

·             Perform compliance-related matters such as approving of marketing materials, system access, advice of licensing matters with the support of the licensing team, preparation of internal compliance reports with the assistance of a junior staff

·             Conduct training on new rules and regulations as well as promotion of compliance awareness and culture, where needed

·             Investigate potential compliance incidents or breaches in conjunction with various internal parties

·             Coordinate IG inspections with a focus on compliance/regulatory related issues

·             Liaise with local regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveys

·             Liaise closely with country compliance and business management in APAC concerning the necessary coordination of compliance actions and reporting

·             Work closely with the business and country compliance officers in the APAC region to advise on cross border activities or projects

·             Work closely with the UK and US Compliance teams on any EMEA  and US PS&F or EQD Sales related matters

·             Assist rolling out or implementing global or regional policies and procedures for Global Markets business and ensure compliance thereof

·             Assume any Compliance Domains Representative Officer role if necessary

Competencies (Technical / Behavioral)

·         Strong knowledge of regulatory and compliance requirements in both APAC and Global regions

·         Strong interpersonal skills, with the ability to communicate and consult clearly at all levels -  business, management and other support functions

·         Strong leadership skills and extensive experience in running a Compliance team

·         Knowledge of risk and control framework or procedure of a financial institution

·         Strong analytical and problem solving skills

·         Able to work independently adopting a hands-on approach

·         Ability to handle multi-tasks


Specific Qualifications/Experience Required

·         Undergraduate Degree with 12 years or more experience in the compliance department of financial institutions, international brokers or securities regulators; with strong knowledge of equities products and/or capital market activities in both APAC, EMEA and US regions, preferably with advisory experience.

·         The candidate should have a good understanding of the regulatory environment and the key challenges and developments which the business as well as the wider industry faces.

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 15 years Schedule: Full-time