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Compliance Officer Wealth Management Financial Security & Surveillance

Marque BNP Paribas
Niveau d'expérience 3 à 5 ans
Niveau d'études Niveau BAC+2/3
Postuler REF: COM001680

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


To perform compliance testing and AML controls; to drive / participate in Financial Security projects, including drafting policy; co-ordinate regulatory inspection; to enforce Wealth Management Compliance policy and procedures.


Key Responsibilities


Primary responsibilities:
• To support in implementing policies and procedures as a result of changes in Head Office directive or local laws and regulations and updating such rules and regulations relevant to Wealth Management Financial Security.
• To carry out Financial Security related second level control programme. To identify and control compliance risks/exceptions, implementing monitoring measures and remediation plan where required with relevant stakeholders.
• To assist in preparing relevant compliance reports/risk assessments pertaining to Wealth Management Financial Security topics for submission to Head Office/local stakesholders and ensuring the accomplishment of the Department’s mission.
• To drive or participate in financial security related projects from Compliance perspective.
• To assist in coordination of audit and regulatory inspection, as well as investigation related to financial security from Compliance perspective.

Secondary responsibilities
• To provide training on Compliance issues and promote compliance awareness and culture.
• To ensure compliance with applicable laws and regulations.  Keep abreast on new regulations and to update Management and staff on changes in regulations
• To advise Business and Functions on compliance and regulatory issues.
• To carry out the client acceptance and review process and to ensure that compliance especially with issues like money laundering, due diligence on clients, know-your client process, sanctions, transaction monitoring.


Competencies (Technical / Behavioural)
• Familiar with Hong Kong laws and regulations.
• Work well with people and under pressure, good team player.
• A good knowledge of compliance framework with experience in performing Compliance testing or audit background is an advantage.
• Have strong communication skills and excellent English.
• Strong excel skills
• Must evidence an attention to detail and have an investigative and questioning nature.


Specific Qualifications Required
• A graduate of a tertiary institution.
• At least 3-4 years experience in Compliance or Control Function is preferred.

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 Behavioural competency: Ability to collaborate / Teamwork, Ability to deliver / Results driven, Personal Impact / Ability to influence, Decision MakingTransversal competency: Analytical Ability, Ability to understand, explain and support change