Compliance Officer - Associate

Description & Requirements

Job Title: Compliance Officer, Wealth Management (Associate)

Department: India CoE Compliance Hub

About Business line/Function: 

India CoE Compliance Hub enables safeguarding the Group’s reputation and mitigating the risks across all business lines by supporting the Compliance functions globally. Currently, the India CoE Hub is structured into divisions aligned with the areas they serve, offering services for Group Compliance COO TOP, trade surveillance, electronic communications monitoring, transversal risk management, personal account dealing, MIS, and project support. The team collaborates closely with business partners worldwide.

Position Purpose: 

This position supports the Wealth Management Hong Kong and Wealth Management Singapore KYC/Financial Security Compliance teams.  The purpose of the position is to enforce the Wealth Management compliance on-boarding and account recertification policies and procedures, in addition to ensuring all such activities comply with HK and SG regulatory requirements and expectations.

By ensuring accuracy and adherence to compliance standards, this position plays a critical role in supporting the team’s goal of maintaining a robust and reliable compliance framework, safeguarding the organization’s integrity, and fostering trust with stakeholders.

Responsibilities

Compliance Officer (Associate) – CIB & Wealth Management
India Co‑E Compliance Hub – BNP Paribas India Solutions

1. Business Line / Function

The India Co‑E Compliance Hub protects the Group’s reputation and mitigates risk across all business lines by delivering global compliance services. The Hub is organised into divisions that support Trade Surveillance, Electronic Communications Monitoring, Transversal Risk Management, Personal Account Dealing, MIS, Project Support and other core compliance functions. Teams work closely with on‑shore partners in EMEA, AMER, APAC, Hong Kong and Singapore.

2. Position Purpose

To provide end‑to‑end KYC/AML/CFT support for both Corporate & Institutional Banking (CIB) and Wealth Management on‑boarding, recertification and ongoing monitoring activities. The role acts as a 2 LoD liaison between 1 LoD business units (CEFS, Wealth Management relationship teams) and on‑shore compliance teams, ensuring that all client files meet global and local regulatory standards.

3. Key Responsibilities

A. Core KYC / AML Operations (CIB & Wealth Management)

• Review and manage escalation forms, verify completeness of local add‑on documentation and ensure data consistency across 1 LoD submissions.
• Return KYC files to DDT when documentation is missing or data is inconsistent; re‑validate DDT analysis where required.
• Complete the Compliance Assessment Form and coordinate CPL decisions with secondary sites.
• Draft CPL opinions based on client data, liaise with on‑shore teams for validation and present to B&C / CAC committees.
• Update client files in internal systems (Fenergo, GCARS, etc.) with all supporting documentation.

B. CIB‑Specific Duties

• Support on‑shore CIB compliance teams (EMEA, AMER, APAC) on escalation handling and KYC recertification.
• Analyse structured‑finance, cash‑management, correspondent‑banking, global‑markets, shipping, aviation, project‑finance and securities transactions for AML risk.

C. Wealth Management‑Specific Duties

• Perform 2 LoD reviews of account opening and recertification for HK and SG Wealth Management portfolios.
• Produce client risk assessments, assign risk ratings and prepare presentations for HK/SG risk‑committee approvals.
• Screen client transactions, flag suspicious activity, investigate adverse media, sanction‑country links and PEP exposures.
• Advise business on KYC, Financial‑Security and AML matters; prepare memoranda, STRs and support internal audits/regulatory inspections.
• Work with on‑shore compliance on derogations, policy matters and collaborate with the APAC Financial‑Security AML Advisory team.

D. Cross‑Functional & Operational Tasks

• Participate in regular feedback sessions with panelists and senior compliance leads.
• Conduct follow‑up mini‑drives and maintain multiple candidate‑touchpoint communications to ensure a warm, smooth journey for internal stakeholders.
• Provide administrative support (file‑status tracking, bankruptcy‑list updates, counterparties reviews, investment‑profile questionnaires).

4. Technical & Behavioral Competencies

5. Required Qualifications

• University degree (any discipline).
• Minimum 5 years of KYC/AML/FS compliance experience (combined CIB and Wealth‑Management exposure preferred).
• Proven track record in handling corporate, investment‑banking and private‑banking client files.
• Proficiency in Microsoft Outlook, Excel, Word and PowerPoint.
• Ability to work in a 24 × 7 global delivery environment (Bengaluru, Chennai, Mumbai).

6. About BNP Paribas

BNP Paribas is the EU’s leading bank and a global financial‑services powerhouse, operating in 65 countries with ~185 000 employees. The Group’s three pillars – Commercial & Personal Banking, Investment & Protection Services, and Corporate & Institutional Banking – serve individuals, SMEs, corporates and institutional clients worldwide.

BNP Paribas India Solutions (est. 2005) is a wholly‑owned subsidiary delivering 24 × 7 support to the Group’s Corporate & Institutional Banking, Investment Solutions and Retail Banking lines from delivery centers in Bengaluru, Chennai and Mumbai.

7. Commitment to Diversity & Inclusion

BNP Paribas embraces diversity and fosters an inclusive workplace where every employee can bring their authentic self to work. Discrimination, harassment or any form of unequal treatment is strictly prohibited. We promote equal employment opportunity irrespective of gender, gender identity, sexual orientation, ethnicity, race, colour, national origin, age, religion, disability, veteran status or any other protected characteristic.

If you are a meticulous, analytical professional with a passion for safeguarding the bank’s integrity across both corporate banking and wealth‑management domains, we invite you to join our dynamic compliance community.

About BNP Paribas Group:

BNP Paribas is the European Union’s leading bank and key player in international banking. It operates in 65 countries and has nearly 185,000 employees, including more than 145,000 in Europe. The Group has key positions in its three main fields of activity: Commercial, Personal Banking & Services for the Group’s commercial & personal banking and several specialized businesses including BNP Paribas Personal Finance and Arval; Investment & Protection Services for savings, investment, and protection solutions; and Corporate & Institutional Banking, focused on corporate and institutional clients. Based on its strong diversified and integrated model, the Group helps all its clients (individuals, community associations, entrepreneurs, SMEs, corporates and institutional clients) to realize their projects through solutions spanning financing, investment, savings and protection insurance. In Europe, BNP Paribas has four domestic markets: Belgium, France, Italy, and Luxembourg. The Group is rolling out its integrated commercial & personal banking model across several Mediterranean countries, Turkey, and Eastern Europe. As a key player in international banking, the Group has leading platforms and business lines in Europe, a strong presence in the Americas as well as a solid and fast-growing business in Asia-Pacific. BNP Paribas has implemented a Corporate Social Responsibility approach in all its activities, enabling it to contribute to the construction of a sustainable future, while ensuring the Group's performance and stability.

About BNP Paribas India Solutions:

Established in 2005, BNP Paribas India Solutions is a wholly owned subsidiary of BNP Paribas SA, European Union’s leading bank with an international reach. With delivery centers located in Bengaluru, Chennai and Mumbai, we are a 24x7 global delivery center. India Solutions services three business lines: Corporate and Institutional Banking, Investment Solutions and Retail Banking for BNP Paribas across the Group. Driving innovation and growth, we are harnessing the potential of over 10000 employees, to provide support and develop best-in-class solutions.

Commitment to Diversity and Inclusion

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. 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.