What is this position about?
Our goal is to be a pivot in the risk management framework by defining and implementing strategies to manage Operational risks, Business risks and Conduct risks, while supporting the Business to navigate the complex and changing landscape so that business can be conducted in a responsible, efficient and sustainable way.
What would be your typical day at BNPP Paribas look like?
Purpose of the Role
Act as the primary point of contact for all suitability-related matters, providing practical guidance and support to internal stakeholders to help them meet the Bank's requirements and regulatory obligations. The role also supports the ongoing improvement of the suitability framework by participating in governance and simplification forums, identifying opportunities to improve processes, and helping to ensure requirements remain clear, practical, and effective. In addition, the role leads or coordinates training and awareness initiatives when needed to strengthen understanding and promote consistent application of suitability requirements across the business.
Key Responsibilities
Advisory and Stakeholder Support
- Serve as the main point of contact for suitability-related questions and issues.
- Provide timely guidance and support to Front Office, Investment Services, Compliance, Operations and other stakeholders on suitability requirements.
- Help stakeholders understand and apply suitability requirements in their day-to-day activities.
- Support the identification, investigation and resolution of suitability-related issues, exceptions and process gaps.
- Work closely with stakeholders to promote good risk awareness and consistent practices within the suitability Framework
Framework Governance and Enhancement
- Support the maintenance and ongoing improvement of the suitability framework.
- Participate in relevant governance, oversight and simplification forums to identify opportunities to improve processes, reduce complexity and strengthen controls.
- Contribute to projects and initiatives that enhance the effectiveness and efficiency of suitability processes.
- Ensure procedures, guidance documents and supporting materials remain up to date, accurate and aligned with regulatory and internal requirements.
Oversight and Monitoring
- Analyse recurring issues and trends to identify areas for improvement.
- Work with stakeholders to address identified weaknesses and implement corrective actions.
- Support the implementation and enhancement of suitability-related controls within the first line of defence.
- Manage the issuance and tracking of client communications arising from suitability reviews, ensuring timely completion and appropriate follow-up.
Training and Awareness
- Develop and deliver training sessions, briefings and awareness programmes on suitability matters when required.
- Provide targeted guidance and learning support following process changes, new requirements or emerging trends.
- Help build understanding and consistent application of suitability requirements across the business.
Procedures, Documentation and Regulatory Updates
- Lead updates to suitability-related procedures and guidance documents, including IN80 and PRO853.
- Prepare draft updates and coordinate feedback from stakeholders across relevant functions.
- Assess, consolidate and address stakeholder comments to ensure documents remain practical, accurate and aligned with regulatory and business requirements.
- Manage document review, validation and approval processes through the relevant governance bodies.
Committee and Governance Support
- Coordinate and support the Suitability Oversight Committee (SOC).
- Prepare meeting materials, track actions and ensure follow-up of agreed outcomes.
- Provide updates and reports to governance forums and management when required.
Other Responsibilities
- Support ad hoc projects, reviews and assignments as directed by the Team Head.
- Provide support to other Conduct & Control teams as required.
What is required for you to succeed?
- Ability to collaborate effectively with different stakeholders (Front and Back)
- Ability to manage / facilitate a meeting, seminar, committee, training
- Attention to details with good communication skills both written and orally
- Ability to speak and understand Mandarin and Cantonese will be advantageous
Required education/certification/licenses
- For Associate, at least 3 to 5 years working experience in the Compliance/Control/ Risk area
- For AVP, at least 6 years working experience in the Compliance/Control/ Risk area
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.
https://careers.apac.bnpparibas/
More information
BNP Paribas - Diversity & Inclusion Journey
BNP Paribas - The Bank Of Green Changes
Award Obtained
BNPP has won Top employer Europe award in a 10th consecutive year
