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.  

* excluding partnerships

At BNP Paribas, we passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued, respected and can bring their authentic selves to work. We prohibit Discrimination and Harassment of any kind and our policies promote equal employment opportunity for all employees and applicants, irrespective of, but not limited to their gender, gender identity, sex, sexual orientation, ethnicity, race, colour, national origin, age, religion, social status, mental or physical disabilities, veteran status etc. As a global Bank, we truly believe that inclusion and diversity of our teams is key to our success in serving our clients and the communities we operate in.

https://careers.apac.bnpparibas/

Responsibilities

Key Responsibilities

The main responsibility of the M&S Compliance Officer position is to handle Trade Surveillance and e-Communication Monitoring, with various duties including, but not limited to:
•    Being accountable for compliance with Market Abuse Surveillance regulation in his/her defined perimeter
•    Being responsible for implementing the firm’s surveillance program in her/his scope in accordance with MI Domain guidelines
•    Being responsible for identifying Suspicious Transactions or Orders (STOR) and following/leading the process until a STOR is submitted to regulators when deemed necessary
•    Being responsible for implementing Market Integrity Domain’s initiatives & projects in Japan
•    Coordinate with 1LoD Conduct Surveillance (FOCS) and work as an escalation point from FOCS, perform QA and provide support as needed 

Run the Bank

<Trade Surveillance Role>

•    To carry out daily Trade Surveillance covering regulatory requirements as well as commitments made in past inspections, using monitoring applications and procedures that have been developed for this purpose (including vendor applications) in a timely manner;
•    To investigate and escalate issues identified from the monitoring and surveillance activities and work closely with the Business and Compliance colleagues to solve issues and follow up on such issues until remediation
•    To receive and respond to regulatory and other inquiries with regard to transactions and comply with legal and regulatory deadlines for requests for information (“RFI”s) and investigations

<E-Comm. Role>

•    To review emails, chats, phone records of business side staff, analyze alerts and close obvious false positive alerts or escalate to the head of the team for further decision, 
•    To ensure the proper use of monitoring tools, and be in charge of evaluating proposed changes to systems where needed and reporting to the team
•    To participate in investigations into issues found by E-Comm. Monitoring as well as responding to requests and inquiries from the business lines

<Transversal Role>

•    To analyze and report to the Head of M&S and Compliance Management the trends seen in the daily surveillance/monitoring cases, and discuss with the business any necessary additional controls with Advisory Compliance as appropriate
•    To ensure documents, procedures and desk manuals are up to date and effective
•    To ensure systems and controls are up to date and effective
•    To maintain appropriate audit trail and documentation of alerts

Change the Bank

•    PDCA Cycle:  Carry out periodic reviews regarding the current M&S program and monitor the framework for enhancement as necessary in response to the results of analyses made above, as well as to market/regulation/business changes.
•    Carry out periodic reviews regarding the current M&S program and monitor the framework for enhancement as necessary in response to the results of analyses made above, as well as to market/regulation/business changes
•    Contribute to planning and implementing new surveillance programs as necessary in response to the results of analyses made above, as well as to market/regulation/business changes
•    Enhance the M&S processes so as to achieve higher efficiency, while not cutting back on quality
•    Support colleagues and peers for the achievement of global and regional projects
•    Coordinate with stakeholders in Market Integrity M&S team and support the Head of Japan M&S team for promoting and implementing global and regional initiatives
•    Provide training and maintain relevant policies as needed.


Technical and Behavioral Competencies required

Technical skills

•    Advanced knowledge of FIEA, JSDA, stock exchange rules and other related regulations
•    Computer skills
•    Fluency in Japanese and English

Soft skills

•    Good communication skills and analytical skills
•    An excellent team player who works collaboratively, supports and reports/shares information with the team timely, fulfills his/her own responsibilities as well as of the whole team’s.
•    A person who take ownership of surveillance activities, think out of the box, challenge the business and bring constructive discussion with relevant stakeholders if necessary
•    Attention to detail: be precise in data handling and record keeping;
•    Have a logical way of thinking and ability to explain/present any issue to those who are not yet at that level;
•    Taking initiative: must not be afraid of asking questions to anyone (incl. senior managers or people of other departments) and be able to report/share information as necessary;
•    Proactive learner and self-starter
•    A person with strong IT skills, e.g. VBA, MS Office applications is preferred

Specific Qualifications Required

•    Tertiary degree (equivalent to Bachelor degree) or above
•    JSDA Sales Representative (qualified for the 1st Sales Representative, Internal Control Manager) is desired. 


 

Primary Location
JP-Tokyo-To
Job Type
Standard / Permanent
Job
COMPLIANCE
Education Level
Bachelor Degree or equivalent (>= 3 years)
Experience Level
At least 5 years
Reference
COM002474

Pourquoi je candidaterais ?

Pour quelles raisons je rejoindrais BNP Paribas et pas une autre entreprise ?

Parce que je souhaite...

  • Et si on vous disait que travailler dans notre Groupe, ce n’est pas ce que vous croyez ? Chez BNP Paribas, on exerce une multitude de métiers qui évoluent en permanence pour être en phase avec les attentes des clientes et clients comme de la société.

  • Se sentir bien dans son job, c’est avant tout venir travailler comme on est.  C’est aussi avoir les moyens d’un bon équilibre entre sa vie professionnelle et sa vie personnelle. Deux engagements majeurs pour BNP Paribas.

  • Chez BNP Paribas, le développement de vos compétences est essentiel, pour vous comme pour nous. Et cela vous servira pour toute votre vie professionnelle.

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