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SEA Global Markets Compliance Officer

Marque BNP Paribas Corporate & Institutional Banking
Niveau d'expérience 3 à 5 ans
Niveau d'études Niveau BAC+2/3
Postuler REF: COM002035

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

The candidate will be part of a team that is responsible for the Compliance for Global Markets, ALMT in SE Asia, IBA and FIC in Singapore. 


Direct Responsibilities

The candidate’s coverage will be mainly to cover: 

A.    Advisory to GM, whose hub is in Singapore or operating from SEA countries, IBA and FIC Businesses in Singapore; 
B.    Compliance Projects.
Provision of compliance advice as part of GM Coverage Compliance will be the primary role. 

A.    Advisory

•    Advising the business on compliance and regulatory issues.  For example: 
*providing compliance comments for new business activities or initiatives 
*providing compliance advice on all front office ad hoc and BAU business requests 
    Compliance advice pertains to advising on:

•    compliance with SFA, FAA, SGX Rules, Singapore Code of Merger & Takeover, etc; 
•    BNPP internal policies  

•    Liaise with Local Compliance in APAC countries to facilitate APAC business compliance with  respective to local regulations. This will entail managing the communications between business and local compliance in arriving at a balanced and mutually satisfactory outcome

•    Liaise with counterparts in EMEA and US to facilitate APAC business compliance with Global regulations.

B.    Compliance  Projects and Initiatives
•    Be the point of contact of compliance projects    

•    Work with Singapore regulatory compliance and business functions on new and upcoming regulatory changes, MAS Consultation Papers.

•    Coordination of completion of regulatory questionnaires, which entails coordinating for the right answers from many stakeholders.

•    Work with Financial Security Compliance on Sanctions and Anti Money Laundering related issues and regulations in APAC jurisdictions. 

•    Work with other Compliance domains on risk assessments, internal policy changes/implementation

(C)     Surveillance/ Controls 
1.    Work with Surveillance team on all the background review/surveillance work each time a regulatory inquiry of transactions occurs. The includes inquiries from exchanges (e.g. SGX/CME) or regulators  (e.g. CFTC, MAS)

2.    Work with Surveillance team on how trade and e-communications surveillance alerts can be closed.

3.    Advise Permanent Control team on how to go about conducting compliance reviews and controls testing of business. 

4.    Be involved in Compliance approvals of Third Party Payments (TPPs) to mitigate Financial Security risks 

Contributing Responsibilities

1.    Liaising with Compliance Domain experts in providing Domain advice to business 

2.    Other ad hoc tasks related to Global Markets including assist  in investigations on compliance related matters (such as market conduct issues or code of conduct issues such as confidentiality breach, data leakage etc.). 

3.    Acting as the back-up to other staff members of the team in Singapore.  This may entail supporting other GBL / businesses not within the primary scope of coverage of the individual.   

Technical & Behavioral Competencies

•    Ability to prioritize and work independently
•    Ability to evaluate complex situations and to issue appropriate and pragmatic recommendations
•    Strong organizational, analytical & time management skills, good attention to details
•    Has a risk based mindset, flexible, resilient and willing to adapt to and embrace changes 
•    Good knowledge of Singapore SFA and FAA, SGX Rules is preferred.

Specific Qualifications (if required)

•    Compliance / Audit / Control experience 
•    At least 5+ years of work experience with exposure on banking compliance / regulatory matters within Global Markets and/or Investment Banking     
•    Fluency in English

Primary Location: SG-06-SingaporeJob Type: Standard / PermanentJob: COMPLIANCEEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 5 years Reference: COM002035