Key Responsibilities as follows covering the relevant business areas:
● This position reports to the Co – Head of Market Integrity / Financial Markets, focusing on FICC, Financial Institution Coverage (FIC) and Global Banking (GB) (M&A, LMFS, EF, TSL). The position will be involved in two main areas in BNP Paribas Securities Japan and BNP Paribas Tokyo Branch; (1) Market Integrity is a transversal topic (called Domain) that covers various market related risks such as but not limited to short selling, disclosure of interest, market soundings, best ex, MNPI management, position limits, benchmarks, underwriting and placing allocations, investment recommendation, transactional conflict of interest, etc. and Monitoring & Surveillance team as well as Control Room. (2) Financial Market is business line advisory covering Global Markets, FIC, ALMT, as well as private side departments of Tokyo Branch.
● This position is more focused on FICC, FIC and GB.
● Ensure and preserve BNPP's value and reputation through day-to-day advice to the business and the functions
● Have a good communication and coordination with global and regional FM Compliance colleagues as well as the Domains Compliance Officers.
Advisory-Related Responsibilities within operational perimeter
● Provide advice to the Financial Markets – mainly FICC side perimeter on Compliance issues
● Cooperate with the Co-Head of MI Domain and Financial Markets EQ side Advisory Compliance and other team members with regard to the business areas covered by the team but is not mentioned in the above point
● Work closely with other Global Markets Advisory, Global Banking Advisory and Financial Securities Compliance officers when necessary and take a role from the perspective of Shoken Compliance for transversal situations across Shoken and Ginko
● Work closely with Compliance Domain Responsible Officers locally (who are handling transversal topics) when necessary
● Ensure high level regulatory watch, update internal policies and procedures according to changes of rules and regulations, and coordinate with the Regional and local functions (e.g. Legal, RISK, local COO), in order to anticipate new regulations and contribute to adapt the Bank’s control framework accordingly
● Ensure consistency of decisions and operating models through close cooperation with other Compliance officers and business lines
• Contribute to control plans (including regulatory controls, support businesses in FSA, etc. controls) as applicable
• Ensure maintenance as well as continued implementation / development of the Group’s internal control framework, internal control plans, Compliance standards and procedures
• Develop and maintain expertise, advise and assist relevant business lines and functions operating in the area of general Compliance
● Provide training sessions to the teams including both front office and functions of the relevant operational perimeter regarding rules, regulations, policies and procedures within the operational perimeter
● Participate in communication with regulators, including inspectors, and participate to regulator relations (e.g. contribute to written answers to specific requests, etc.) when necessary, and provide timely and accurate regulatory submissions
• Contribute to participate in and coordinate specific investigations, as necessary
• Coordinate with the regional/global Business Advisory and Domain Compliance teams for any relevant matter
• Report on the above through the relevant channels to Compliance Management promptly and accurately and to assist and coordinate with stakeholders within/outside of Compliance as per necessary
Contribute to the Permanent Control framework
• Help ensure that Compliance continues to contribute to BNP Paribas’ Permanent Control framework.
