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Regulatory and Shariah Review Compliance Officer

Postuler REF: COM001913

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.


1. To perform Shariah review for CIB Malaysia entities in accordance to applicable regulatory requirements and Malaysia Shariah Review  framework:

  • Planning the review program which includes the objectives, scope, reporting, rectification and follow-up actions followed by the execution of the program.
  • Documenting the process involved.
  • Communicating the outcome of the review and highlighting any Shariah non-compliance incidents to Board, SC and Management Committee.
  • Proposing remedial rectification measures to resolve non-compliance and put in place control mechanism to avoid recurrences.
  • Reporting necessary Shariah non-compliance events, if needed, to local regulators. 

2. To assist CCO to monitor and ensure relevant action is taken to ensure closure of any audit findings related to Shariah Review.

3. To assist CCO to deliver relevant Shariah related trainings.

4. To assist in identification of Shariah areas and target group where relevant training is needed. Training may be conducted on a recurring basis to ensure adequate level of awareness and adherence to the applicable areas.

5. To formulate, update, issue/implement compliance policies and procedures ensuring they are in line with local regulation and Group directives.

6. To track and monitor the release of any new regulator y requirements from relevant local regulators such as Bank Negara Malaysia, Securities Commission and Labuan Financial Services Authority. Any new release impacting the activities of CIB entities must be communicated to relevant stakeholders or metiers.

7. To perform impact/gap assessment on regulatory requirements issued by local regulators and monitor closure of any identified gaps by the relevant action owners.

8. To track and maintain register of interaction/engagement/meeting with Regulators.

9. To identify any need for Compliance training and to make the necessary training arrangements such New Hire Compliance training.

10.To provide support to regional PE domains of expertise in carrying out their missions in accordance with PE Compliance Framework  as well as implementation of PE framework in Malaysia.

11.To perform applicable Generic Control Plan related to PE domain as well as relevant Group's Compliance assessment relevant to PE domain such as CRMS.

12.Co-ordinate responses for regulatory inspections, investigations and surveys where applicable.

13.Ensure delivery of the following PE Compliance Responsibilities:

  • Assist in investigations in conjunction with other support functions where necessary, and handle actual and potential compliance breaches and any compliance matters.
  • Attend to internal/external auditors' routine visits, audits and enquiries on compliance policies and procedures.
  • Monitor timely closure of any recommendations arising from regulatory audit.
  • Monitor all staff's completion of annual mandatory Compliance training and to attend to queries/enquiries from all staff on mandatory e-learning courses.
  • To prepare relevant Compliance reports to Management and Board, as well as to the Regional Compliance team.
  • Identify, classify and inform new staff on their sensitivity classification.
  • Process staff's pre-clearance requests for personal account dealing and monitor receipt of approvals and contract notes.
  • Track and review personal account dealing (PAD) declarations submitted by sensitive and non­ sensitive staff respectively, to monitor the personal account dealing of sensitive and non­ sensitive staff.
  • Review staff's submission of Gifts and Invitation ("G&I") claims for CCO's approval. Update the G&l register with the details of each claim.
  • Monitor and review staff's submission of Annual Declaration of Vested Interest and update Annual Declaration of Vested Interest records.
  • Review staff's request for approval to assume engagements outside of BNPP for CCO approval.
  • Review and update Malaysia Compliance Manual and relevant Malaysia Compliance policies and procedure including Malaysia Compliance Framework.

1. Relevant years of experience in Compliance/Shariah Review related field.

2. Degree in relevant fields, sound understanding of relevant Shariah requirements applicable to Islamic financial business.

Primary Location: MY-14-Kuala LumpurJob Type: Standard / PermanentJob: COMPLIANCEEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 7 years Reference: COM001913