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Compliance Officer (Regulatory Office Focus)

Marque BNP Paribas
Niveau d'expérience 3 à 5 ans
Niveau d'études Niveau BAC+2/3
Postuler REF: COM002146

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.  

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

Position Purpose

To play a key role in managing regulatory and compliance risks for BNP Paribas by providing regulatory compliance coverage for the Hong Kong Territory.


Regulatory relationship management

    To act as a liaison person to interact with Hong Kong regulators, mainly the HKMA and the SFC, and relevant industry associations.
    To coordinate and monitor regulatory inspections, investigations, thematic reviews, inquiries, self-assessments, surveys, questionnaires and consultations to ensure timely and quality submissions.
    To organise and facilitate meetings with regulators.
    To keep abreast of new regulations and disseminate regulatory circulars, press releases and other regulatory developments to management, other Compliance teams and relevant stakeholders.

Issue/incident analysis and reporting

    To conduct assessment and participate in regulatory technical analysis as and when issues or incidents arise.
    To coordinate and prepare regulatory reporting and submissions.
    To monitor progress of remediation and subsequent reporting requirements.

Advisory coverage

    To support the provision of regulatory and compliance advice to management on bank-wide or territory-wide matters.
    To provide advice on infrastructural matters (ie, non-product, non-client and non-transaction matters).
    To develop and update Compliance policies and procedures.
    To drive projects on designing and establishing compliance framework, controls and processes.
    To escalate issues as and when identified.
    To work closely with other Compliance Teams to align consistency of operating models and of decisions.
    To develop and run programmes and trainings to promote compliance awareness and good conduct and culture.

Management reporting

    To support the Head of Compliance in organizing Compliance committee meetings.
    To support the Head of Compliance in designing, coordinating and preparing Compliance management information, reports and metrics to management, relevant committees and stakeholders.

Assisting the Compliance Chief Operating Officer (COO)

    To assist in the planning and implementation of business continuity management programmes for Hong Kong Compliance
    To provide support on procedure management for Hong Kong Compliance including maintaining the Compliance policy and procedure register and managing the required notification processes
    To assist in the general management and administration of the Hong Kong Compliance office

Key Stakeholders

    Regulators
    Head of Compliance for the Territory
    COO covering the Territory and functions under the COO Office
    Head of the Territory
    Heads and key personnel of regulated entities in the Territory and in the key businesses
    Heads and members of other Advisory Compliance Teams and Regional Compliance Teams
    Heads, Correspondents and members of Compliance Domains
    Heads and COOs of other Control Functions

Technical and Behavioral Competencies required

Technical skills

    General understanding of the businesses, products, services and clients of a bank
    Knowledge in rules and regulations applicable to the banking and securities industry in Hong Kong
    Strong analytical skills in evaluating and assessing regulatory developments and compliance issues
    Ability to challenge inputs and contributions from businesses, other functions and other Compliance teams
    Ability to identify improvement areas and recommend enhancements to Compliance processes
    Adequate attention to details to ensure quality of regulatory submissions and management reports

Soft skills

    Good integrity and strong work ethic
    Objective-driven
    Excellent communication skills to interact with regulatory officers and internal stakeholders at all levels
    Ability to work independently with minimal supervision
    Good analytical skills and judgement
    Good time and project management skills
    Ability to learn quickly and to drive changes and/or adapt to them
    Accuracy and adequate attention to details
    Teamwork and ability to assist in developing less experienced colleagues

Experience and Qualifications required

    University graduate, preferably with a major in Business, Accounting, Finance or Law.
    At least 3 years of experience in the banking and financial industry and/or regulatory sector.
    Candidates demonstrating strong competencies but with less relevant experience may be considered for the Compliance Analyst role.

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: COM002146