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

At BNP Paribas, we passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued, respected and can bring their authentic selves to work. We prohibit Discrimination and Harassment of any kind and our policies promote equal employment opportunity for all employees and applicants, irrespective of, but not limited to their gender, gender identity, sex, sexual orientation, ethnicity, race, colour, national origin, age, religion, social status, mental or physical disabilities, veteran status etc. As a global Bank, we truly believe that inclusion and diversity of our teams is key to our success in serving our clients and the communities we operate in. 

Position Purpose

•    Handle private side compliance, research compliance and Control Room tasks 

Key Responsibilities

•    Provide advice to Global Banking (focus on Capital Markets and Corporate Client Coverage) Department, FIC and Equity Research Department
•    Attend Mandate & Underwriting Committee Meetings as Compliance Representative
•    Assess and manage potential conflicts of interest situations
•    Provide contribution to independence check (HK Sponsor, SG Listing)
•    Assist with pre-deal research publication process and coordinate with Business, other Compliance and External Counsel in regards to pre-deal research 
•    Provide compliance clearance on research products and ensure that all publications of research comply with Bank’s policies and applicable legal provisions
•    Assist with the maintenance of the Bank’s Restricted List, Watch List and Grey List
•    Facilitate barrier crossing requests and update the associated systems
•    Handle other compliance tasks as required to achieve overall team objectives 
•    Work closely with relevant parties to support team visions

Competencies (Technical / Behavioral)

•    Good communication and interpersonal skills with ability to build good working relationships with different business, management and other functions
•    Good knowledge of securities markets, business, financial products
•    Proactive in identifying risks, proposing solutions and follow through from start to end
•    Ability to work through tasks systematically and monitor own work to ensure consistency and timeliness
•    Ability to learn and understand applicable regulatory rules and regulations and industry best practices
•    Strong desire to work as part of an effective and collaborative team.
•    Effective written communication skills for report writing and analysis.
•    Responsible, thorough, professional and high regard for accuracy and quality
•    Attention to detail, efficient and strong administration / organization skills
•    Able to work under pressure 

Specific Qualifications Required

•    More than 10 years of relevant experience related to Private Side Compliance; direct Control Room experience is an advantage
•    Bachelor’s degree or equivalent in Finance, Law or related subject

Primary Location
HK-Hong Kong (HK)-Hong Kong
Job Type
Standard / Permanent
Education Level
Master Degree or equivalent (> 4 years)
Experience Level
At least 10 years

Pourquoi je candidaterais ?

Pour quelles raisons je rejoindrais BNP Paribas et pas une autre entreprise ?

Parce que je souhaite...

  • Et si on vous disait que travailler dans notre Groupe, ce n’est pas ce que vous croyez ? Chez BNP Paribas, on exerce une multitude de métiers qui évoluent en permanence pour être en phase avec les attentes des clientes et clients comme de la société.

  • Se sentir bien dans son job, c’est avant tout venir travailler comme on est.  C’est aussi avoir les moyens d’un bon équilibre entre sa vie professionnelle et sa vie personnelle. Deux engagements majeurs pour BNP Paribas.

  • Chez BNP Paribas, le développement de vos compétences est essentiel, pour vous comme pour nous. Et cela vous servira pour toute votre vie professionnelle.

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