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Compliance Officer (APAC Market Integrity & Financial Markets Analytics Focus)

Marque BNP Paribas
Niveau d'expérience 3 à 5 ans
Niveau d'études Niveau BAC+2/3
Postuler REF: COM001867

In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 17,000 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 73 markets with more than 196,000 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

https://careers.apac.bnpparibas/


Position Purpose

The Market Integrity (MI) APAC has various operating units, namely Control Room, Monitoring and Surveillance, Market Integrity and Financial Market compliance (“MI/FM”) teams which are located across different APAC countries with the hubs in Singapore, Hong Kong and Japan with India supporting as an outsourced unit for various monitoring and surveillance functions.

The Market Integrity & Financial Market Analytics (MI/FM Analytics) team work very closely with Business Management, Coverage Compliance, Global Counterparts and IT to identify and monitor the major compliance risks with potential failure in complying with the obligations of MI Domain, both financial and reputational of the Group. The teams proactively stay abreast of regulatory initiatives in the industry and potential risks to the Bank in order to develop and maintain MI governance framework that identifies, measures and monitors compliance with applicable laws, regulations and rules that govern business in APAC.

This position will supports the Head of MI/FM Analytics APAC to demonstrate the Bank’s commitment to compliance by developing and maintaining compliance testing programs that evaluate the Bank’s compliance with applicable laws and regulations and discloses violations and control weaknesses.  He/she will evaluate compliance control framework across various front office business areas and branches and provide senior management with detailed reports regarding the extent of the Bank’s compliance with applicable laws and regulations along with value-added comments and recommendations where appropriate.

Key Responsibilities

 

Run the bank

  • Identify and assess the key compliance risk issues applicable to all business activities through various risk assessment exercises
  • Monitor and evaluate the overall effectiveness of MI governance frameworks in reducing overall risk level within the business lines
  • Designing, developing, implementing and maintaining MI Compliance programs (i.e. MI GCP and local controls) across APAC entities
  • Report findings and provide solutions to Senior Management in addressing control gaps or ways to mitigate the risks highlighted in the risk assessments
  • Conduct or assist with special investigations and projects as deemed necessary by senior Compliance and business management
  • Ensure winding down the duplicated controls in place within Compliance APAC
  • Assist in compliance related matters during examinations by the Bank’s regulators and internal auditors/IG

Change the Bank

  

Harmonization:

  • Integrate MI governance frameworks across all levels of the Compliance organization
  • Coordinating with the Group and CIB/WM MI domain on various global MI projects related with risk analysis, policies, testing and reporting

Operational Efficiency:

  • Drive continuous improvement on tools and processes to avoid duplicated controls and optimize compliance review programs

Stakeholder Management:

  • Provide briefings to senior Group & CIB Compliance and GM business stakeholders such as GBL Heads
  • Identify and engage key stakeholders across businesses and functions

Competencies (Technical / Behavioral)

  • University graduate with major in Accounting, Business Administration, Economics, Finance or Law or equivalent qualification
  • At least 05-10 years’ regulatory or compliance experience
  • Demonstrated staff management experience across different countries and nationalities
  • Demonstrate capacity for sound project management, analytical and problem solving skills with the ability to exercise sound and balanced judgment
  • Demonstrate strong interpersonal skills with the ability to communicate and consult at all levels, especially with senior management
  • Committed to confidentiality, integrity and objectivity
  • Good knowledge of securities markets, businesses, products
  • Familiar with securities and exchange rules and regulations
  • Proactive in identifying risks and proposing solutions
  • Good written and oral communication skills
  • High attention to details
  • Ability to handle multiple tasks simultaneously and work under tight deadlines
Primary Location: HK-Hong Kong (HK)-Hong KongJob Type: Standard / PermanentJob: COMPLIANCEEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 5 years Reference: COM001867