BNP Paribas APAC is engaged in a global Record Keeping program focusing on the implementation of archiving and surveillance of voice and chat channels, and the set-up of a corresponding control framework.
The Record Keeping Control Lead is a risk manager who:
owns the Record Keeping control framework and the Record Management policy, and drafts or validates record keeping procedures
understands US, EMEA and APAC regulatory and legal requirements applied to record archival, and the process of collecting and submitting records to authorities upon their request
constantly builds and improves controls over record keeping for the benefit of the APAC region, notably in alignment with the global Voice & E-Comm Record Keeping (VERK) program
personally executes certain first-level operational controls to guarantee the correct recording of information and its transmission to data leakage prevention and surveillance platforms
provides oversight of controls performed by business, operations and IT and reports their results in regional and global committees
Maintains the record retention schedule and controls its proper implementation within business and IT applications subject to record extraction
Manages communication recording incidents and their impact on downstream platforms
Key Responsibilities
With regard to governance and the regulatory environment, you
understand regulatory requirements around record keeping, record extraction and the submission of records to authorities (including trade reconstruction and eDiscovery)
maintain the Record Management Policy and the Record Retention Schedule for all record types and all territories where BNPP operates in APAC
design and deliver training and awareness material to educate staff on the critical nature of processes and technologies used for business communications
You core responsibilities revolve around record keeping risks & controls, for which you
proactively question and analyze risks related to the use of devices, business applications and communication channels
Suggest and design new controls with business lines, operations and IT in order to mitigate or address those identified risks
implement and execute record keeping controls and coordinate contributions from other teams through the APAC Record Management Office
enforce proper retention in each business application and archiving platform in scope of trade reconstruction (US) or regulatory requests for record extraction (APAC), in collaboration with CDO, Risk and IT
partner with Operational Permanent Control (OPC) teams to record control results in relevant tools, to verify control execution and to perform independent oversight
report control result regionally through the APAC steering committee and globally via the periodic control sub-committee
showcase the improvement of the control framework through KPIs, management updates, dashboards and newsletters
When incidents occur or record extraction requests are raised to BNPP, you
manage Communication Recording Incidents with IT and Compliance, and you track short-term mitigating actions and long-term remediation to prevent re-occurrence
assist in trade reconstruction, record extraction and eDiscovery exercises by coordinating the submission of records within the required turnaround time
Competencies (Technical / Behavioral)
In order to fulfill the above responsibilities, you
constantly engage stakeholders from Business lines, Compliance, Legal, IT, Operations and other Control Functions using their own vocabulary
exercise authority and drive these stakeholders to deliver the agreed action plan
conduct regular meetings with local and regional representatives to track progress and answer questions
aim to simplify complex concepts in order to present them to senior management
maintain constant synchronization with the global Voice & E-comm Record Keeping (VERK) program to understand the strategy, global direction and priorities for control implementation
seek visibility on control execution, results and oversight by central teams, and their application to APAC
understand regional involvement wherever controls are performed by IT and operational teams located in APAC
You also:
possess excellent interpersonal skills: verbal and written communication, listening skills, negotiation skills, and the ability to reach a consensus with multiple parties
show attention to detail, and aim to guarantee the accuracy and completeness of information presented to management
use anticipation and analytical skills to carry out a thorough analysis of risks, processes and controls
demonstrate strong ownership of deliverables and outcome, translating into proactive stakeholder, action and problem management
In term of subject matter expertise, you
are familiar with the technical set-up, usage, recording and surveillance of voice and chat communication channels which are most popular in APAC and globally. You have knowledge of end-to-end technical flows into archiving and surveillance back-end systems
understand core banking businesses (Global Markets, Corporate Finance, Transaction Banking, Wealth Management) and interactions between front-officers (Sales, Relationship Managers, etc.) and their clients and other counterparties through communication channels
have a strong risk and control background and mindset, through your experience in risk, compliance or audit
are very comfortable with the use of Office tools to draft process and SOP documents, analyze data and track metrics, and present clear and concise updates and executive messages to senior management
Specific qualifications Required
12+ years’ experience in international Financial Services firms or management consulting
Professional qualifications in finance, business, engineering, computing or related disciplines coupled with excellent academic credentials
Familiarity with current regulations related to Record Management in APAC
Direct experience establishing Record Management / Record Keeping operational processes and controls
About BNP PARIBAS
As the leading European Union bank, and one of the world’s largest financial institutions with an uninterrupted presence in the region since 1860, BNP Paribas offers a wide range of financial services for corporate, institutional and private investors spanning corporate and institutional banking, wealth management, asset management and insurance.
We passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued and encourage applicants of all backgrounds, including diversity of origin, age, gender, sexual orientation, gender identity, religion applicants who may be living with a disability. We have a number of internal employee networks in place to empower our staff to act and challenge the status quo.
• BNP Paribas PRIDE is highly active in favour of the LGBTQIA+ community
• BNP Paribas MixCity which fosters better representation of women at all levels of the organization
• Ability, the mutual aid network for employees with a disability or a disabling or chronic illness
• BNP Paribas CulturAll which celebrates diverse backgrounds
BNP is committed to financing a carbon-neutral economy by 2050. The Group is a founding member of the Net-Zero Banking Alliance and has set up its own Low Carbon Transition Group to support its clients through their energy transitions.
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