BNP Paribas’ Compliance Officers provide reasonable assurance with respect to applicable laws and regulations within his or her perimeter.
The main purpose of this role is to support compliance control and compliance review. Also act as the PE correspondent for WM Taiwan.
Key Responsibilities
He/she validates the policies to be adhered by the territory and controls that they are respected and implemented by achieving a twofold objective:
- Independence of decisions; binding advice
- Close partnership with the business to provide them strong second levels of control, guidance and advisory
He/she is responsible for developing and maintaining a strong Compliance culture within his/her perimeter
The Compliance officer works in close cooperation with other Compliance officers and business lines to ensure consistency of decisions and operating models
Compliance Officers are responsible for the following activities:
Provides reasonable assurance on the compliance of the operations / activities with applicable laws and regulations and escalates to his/her manager to ensures action plans are launched for perceived weaknesses
Ensures consistency of the Compliance model and policy within his/her operational perimeter
Supports the Compliance rules to be adapted / implemented in coordination with the Compliance Domains and the Business Lines
Coordinates diffusion of policies and adaptation into operational procedures
Supports the effective implementation of Compliance rules
Supports the effective implementation of Compliance tools & systems
Makes Compliance decisions on issues reported by local teams in his/her scope of responsibility, involving the Compliance Central Domains when relevant
Exercises decision rights for category 1 level cases
Supports appropriate governance to manage risk of non-compliance: leveraging Business Lines COs expertise, Leveraging Domains COs expertise
Update self-assessment checklists of local regulations and monitor the results performed by WM
Back up review of KYC files
Participate actively in various projects and new tools set‐up process initiated by Compliance and business in related to WM Taiwan; enhancement and UAT for compliance tools
Ensure the completion and quality of routine Compliance tasks, such as impact analysis and distribution of daily official letters and regulations, sanction list management, WM staff licensing/ registration
Ensure the implementation of Group Compliance policies and procedures related to WM and adapt them into local procedures where applicable
Facilitate Compliance reporting requirements and deadlines
Assist Compliance training
Implement Compliance controls, independent reviews and surveillance concerning WM Taiwan
Act as Professional Ethics Correspondent for WM Taiwan
Key Interaction
Representatives of Compliance Operational Perimeters and Domains
Compliance Business Line representatives
Business representatives
Other Control functions
Competencies (Technical / Behavioral)
Technical skills
General knowledge of applicable local regulatory framework and its evolutions
Knowledge of Compliance issues and challenges specific to his/her territory
Knowledge of the Bank (processes, products, clients…)
Soft skills
Integrity
Accuracy
Directing in a positive way (hold one's positions in complex circumstances)
Self-confidence
Ability to learn (curiosity)
Specific Qualifications (if required)
University degree or above with major in Finance, Business, Accounting or Legal
Minimum of 5 years' experience in banks (Compliance or AML function) or CPA firms is preferred
Fluent in Chinese and English (writing/speaking)
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.
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. Au travers d’actions du quotidien ou de grands projets, exercer l’un de nos métiers, c’est s’engager pour agir durablement.
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.
