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Compliance Officer (Professional Ethics and Investigations Focus)

Marque BNP Paribas
Niveau d'expérience 3 à 5 ans
Niveau d'études Niveau BAC+2/3
Postuler REF: COM002149

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

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. 

Position Purpose

1.    The integrity and professional ethics (“PE”) of each BNP Paribas employee forms the basic building block of BNP Paribas Group Code of Conduct.  In     this regards, the Asia Pacific Professional Ethics & Investigations (“APAC PE & I”) within Compliance aims to promote a sound business and ethical     culture within BNP Paribas through the following:-
a.    Ensure consistency in the integration of the Code of Conduct into the Region’s action principles for employees from PE perspective; 
b.    Implement PE related rules, processes, and controls for misconduct prevention; 
c.    Handle PE breaches and whistleblowing alerts in accordance to internal guidelines and requirements;
d.    Support BNP Paribas entities across APAC in critical investigations; and
e.    Provide timely reporting to all territory management on the PE breaches and investigations for appropriate remedial actions to be taken. 

2.    The APAC PE & I team is led by the APAC Head of PE & I, assisted by three sub-team managers, with the following activity coverages: 
a.    Anti-Bribery & Corruption, Gift and Invitation, Due Diligence (jointly known as the “AGD team”);
b.    Personal Account Dealing, Outside Business Interest, Conflict of Interest (jointly known as the “POC team”);
c.    Whistle blowing, Conduct and Investigations (jointly known as the “WIC team”).  

Key Responsibilities:

1.    All employees in PE & I are expected to have knowledge about the policies and activities covered by PE & I, and be ready to assist in any of the areas of activities, when directed.  

2.    In addition, on a day-to-day basis, employees of POC team will have the responsibility to ensure smooth operation in the areas of activities related to Personal Account Dealing (“PAD”), Outside Business Interest (“OBI”) and Conflict of Interest (“COI”), which include, but are not limited to the following:
a.    Perform PAD sensitivity classification and updates; 
b.    Process employees’ requests for opening of trading account; 
c.    Process employees’ requests for PAD in financial instrument; 
d.    Handle declaration of relevant FX and commodities employees;  
e.    Process OBI declarations submitted by employees; 
f.    Handle breach management process in PAD / OBI / COI; 
g.    Provide advisories relating to PAD / OBI / COI; 
h.    Perform PAD / OBI / COI related control tests; 
i.    Provide information for regional and territory review as and when required; 
j.    Submit reports to Head Office, Regional and territory stakeholders as and when required; 
k.    Participate in handling of internal and external missions / inspections on PAD / OBI / COI  matters;
l.    Contribute to the development of PAD / OBI / COI related automation tools; 
m.    Contribute to the update of L3 PAD / OBI / COI operating guide;
n.    Participate in the update of local PAD process;
o.    Participate in the update of APAC Guidelines for PE breaches;
p.    Participate in the PE decision process for PAD / OBI / COI; 
q.    Assist PE Correspondents in their queries relating to PAD / COI / OBI;
r.    Keep abreast of regulations and issues related to PAD / COI / OBI; and
s.    Take up any other task as directed by the POC team manager and/or APAC Head of Professional Ethics & Investigations.

Competencies (Technical / Behavioural)


•    Experience in PAD / COI / OBI reviews;
•    Familiar with regulation / guidelines / policies and procedures relating to PE, especially in the topic of PAD / COI and OBI;
•    High level of integrity and moral standards;
•    Diligent 
•    Have an inquisitive mindset or some investigation experience;
•    Exhibit team player spirit
•    Excellent written and spoken English / Chinese (Cantonese & Mandarin) skill.

Specific Qualifications Required

•    University graduate with major in Law, Commerce, Economics, Finance or Accounting; and
•    For junior role, at least 1 year of banking / regulatory experience.  For more senior role, at least 3 years of banking / regulatory experience.

Primary Location: HK-Hong Kong (HK)-Hong KongJob Type: Standard / PermanentJob: COMPLIANCEEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 3 years Reference: COM002149