We are looking for

Capital Markets Auditor

Job type Permanent
Job Function Periodic inspections
Brand BNP Paribas
Level of experience 3 to 5 years
Apply REF: IG000044

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.

https://careers.apac.bnpparibas/ 

Position Purpose


•    To conduct audit work in accordance with the IG methodology and ensure high standard of deliverables
•    To contribute to risk assessment of audit units based on knowledge obtained through assignments as well as day-to-day contact with auditees
•    To follow through with auditee on implementation of recommendations

Responsibilities

Direct Responsibilities

1.    Participate in the audit team assignments and special reviews (when required by regulators, business lines, or senior management)
• Contribute to the planning and preparation of the assignment e.g. understanding the methodology to be applied, acquiring a high level knowledge of the activities to be covered, gathering relevant key figures, etc.
• Develop a thorough understanding of the activities within the scope of the assignment, its strategy and governance, and the related risks.
• Evaluate the overall setup and identify the main areas of risk (including a comprehensive assessment of the management actions).
• Recommend appropriate actions to the management in order to remediate the identified weaknesses.
• Formalize the results of the assignment investigations and contribute to the production of the assignment deliverables.
• Present the conclusions of the assignment fieldwork to the senior management.

2.    Review the implementation of the Inspection Générale recommendations
• Review and challenge the actions defined to remediate the weaknesses identified by the audit team through its assignments.
 
3.    Contribute to the periodic risk assessment of Capital Markets activities and planning
• Perform a periodic and comprehensive risk assessment of the Capital Markets activities as per the Group guidelines.
• Keep abreast of change/new development of regulatory requirements that are relevant to Capital Markets activities and related functions.
• Assist in the elaboration of the Capital Markets Inspection planning following a risk-based approach.
 
4.    Participate in the Markets and Models audit line events
• Attend the Markets and Models community event organized annually at the head office level.
 
Contributing Responsibilities

• Contribute to the improvement of the Inspection Générale practices through the elaboration and update of our methodologies.


Technical and Behavioral Competencies required

• Strong technical background in Capital Markets activities.
• Outstanding analytical skills.
• Curiosity, rigor, and precision.
• Ability to synthesize.
• Excellent writing and presentation skills (in English).
• High level of initiative, commitment, and drive.
• Ability to work effectively under pressure and within short deadlines.
• Promotes a constructive, cooperative, and participative teamwork environment

Specific Qualifications (if required)

• Master degree in relevant areas (Banking, Capital Markets, engineering, applied mathematics, etc.).
• An experience of 3-5 years in Capital Markets activities and/or related support or control functions (prior audit experiences are considered but are not specifically required).

Primary Location: HK-Hong Kong (HK)-Hong KongJob Type: Standard / PermanentJob: PERIODIC CONTROLEducation Level: Master Degree or equivalent (> 4 years)Experience Level: At least 3 years Reference: IG000044