In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 18,000 employees* and a presence in 13 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 68 markets with more than 193,000 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
Key Responsibilities As Head of FM Business Advisory Senior Compliance covering CIB Japan
- Ensure and preserve BNPP's value and reputation through day-to-day advice to the business and the functions
- Lead and motivate the team, train junior Compliance officers as necessary
- Have a good communication and coordination with global and regional GM Compliance colleagues.
Advisory-Related Responsibilities within operational perimeter
- Provide advice to the Financial Markets perimeter (including Global Equities, Global Macro, Global Credit, IBA, Financial Institutions Coverage as well as ALMT) on Compliance issues
- Work closely with Global Banking Advisory Compliance officers when necessary and take a leading role from the perspective of Shoken Compliance for transversal situations across Shoken and Ginko
- Work closely with Compliance Domain Responsible Officers locally (who are handling transversal topics) when necessary and support them
- Ensure consistency of decisions and operating models through close cooperation with other Compliance officers and business lines
- Provide trainings to the teams including both front office and functions of the relevant operational perimeter regarding rules, regulations, policies and procedures within the operational perimeter
- Ensure high level regulatory watch, define and update internal policies and procedures according to changes of rules and regulations, and coordinate with the Regional and local functions (eg. Legal, Risk, local COO), in order to anticipate new regulations and contribute to adapt the Bank’s control framework accordingly
- Participate in communications with regulators, including inspectors, and participate to regulator relations (eg. contribute to written answers to specific requests, etc.) when necessary, and provide timely and accurate regulatory submissions
- Contribute to control plans (including regulatory controls, support businesses in FSA, etc. controls) as applicable
- Ensure maintenance as well as continued implementation / development of the Group’s internal control framework, internal control plans, Compliance standards and procedures
- Develop and maintain expertise, advise and assist business lines and functions operating in the area of general Compliance
- Contribute to, participate in and coordinate specific investigations, as necessary
- Coordinate with the regional/global Business Advisory Compliance teams for any relevant matter
- Report on the above to Compliance Management promptly and accurately, and to assist and coordinate with stakeholders within/outside of Compliance as per necessary
Contribute to the Permanent Control framework
- Help ensure that Compliance continues to contribute to BNP Paribas’ Permanent Control framework.
Technical and Behavioural Competencies required
- Strong knowledge of regulation related to his/her coverage area
- General knowledge of applicable regulatory framework and its evolutions
- Knowledge of Compliance issues and challenges specific to his/her environment
- Knowledge of a security firm, preferably a conglomerate financial institution.
- Legal culture and literacy
- Analytic skills
- Good balance of decision making and risk taking
- Professional scepticism
- Relational ability
- Method and rigor
- Capacity of initiative
- Dynamism and autonomy
- Ability to convince
Technical and Behavioural Competencies required
● Strong knowledge of regulation related to his/her coverage area
● General knowledge of applicable regulatory framework and its evolutions
● Knowledge of Compliance issues and challenges specific to his/her environment
● Knowledge of a security firm, preferably a conglomerate financial institution.
● Legal culture and literacy
● Analytic skills
● Good balance of decision making and risk taking
● Professional scepticism
● Relational ability
● Method and rigor
● Capacity of initiative
● Dynamism and autonomy
● Ability to convince