Asset Management - Group Compliance - Compliance Generalist

Direct and control the compliance activities of the BNPPAM Singapore business to ensure adherence to local regulatory requirements and global BNPPAM compliance standards.

To represent Compliance function in the local management committees of BNPPAM Singapore.

KEY RESPONSIBILITIES

• Seek to ensure that the local BNPPAM business operates in conformity with all applicable laws and regulations as well as BNPPAM and BNPP Group policies and procedures so as to mitigate compliance risks.
• Advise local management, CEO and Head of Compliance Malaysia on compliance matters affecting the BNPPAM businesses in Singapore, taking into account regulatory changes and developments. Ensure local management, CEO, Head of Compliance APAC, Head of Compliance, Malaysia are well informed and advised of key issues. Work closely with local management to establish an appropriate compliance culture throughout BNPPAM Singapore business
• Represent the Compliance function in local management team discussions and meetings/committees, ensuring that material compliance matters are flagged to and discussed at the appropriate level within the organisation.
• Manage (in collaboration with Territory Compliance) the relationship with local regulatory bodies and auditors
• Ensure all BNPPAM and BNPP Group compliance policies are communicated to the business and implemented in the BNPPAM Singapore business
• Ensure a robust compliance monitoring program is in place and carried out locally, aligned with the Global AM compliance control plan and other monitoring standards
• Ensure claims and complaints are properly dealt with in accordance with local requirements and BNPPAM global policy standards, escalating to line and functional management where necessary.
• Ensure that training and awareness sessions are provided/made avaliable to all staff members to ensure that staff’s awareness of relevant regulations, BNPPAM and BNPP Group compliance obligations, policies and required actions.
• Financial Security
  • to provide staff training and advisory services to the business on financial security topics (KYC, AML, Sanctions screening)
  • to provide compliance opinion/risk assessment on KYC files and PEP/Sanctions alerts requiring an intervention.
  • to perform a second level control per the FS Control plan, to assess and report on the adequacy of the local Financial Security framework
• Act as Whistleblowing referent and ensure implementation of Whistleblowing Framework locally
• Act as ABC correspondent for compliance and ensure contribution to ABC matters rolled out by the Group

KEY INTERNAL / EXTERNAL RELATIONSHIPS

• Internal: Local CEO, Global & Regional Heads for Compliance, Head– Compliance Malaysia (line manager), Legal, Investment Risk, Operational Risk & Control, Operations / Middle- Offices, Service Providers, Internal Auditors.
• External: Local regulatory bodies, External Auditors, Industry Associations.