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General Compliance Officer, China Securities

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Last update 26.06.2024

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

This is a transversal position to provide compliance oversight and control to contribute in general compliance management of the securities firm.


-    Provide compliance advisories to business lines’ daily inquiries;

-    Assist in developing/updating local compliance and/or operating procedures for business lines to adapt to Group and regulatory requirements;
-    Provide compliance support and guidance to business, in particular to actively participating in and support the new business growth and ensuring associated compliance risks are properly identified and addressed;
-    Work with businesses to ensure that applicable regulatory changes/updates are implemented timely and efficiently and track and oversee non-standard regulatory requests;
-    Monitor business lines’ compliance activities by conducting risk-based compliance control testing;
-    Develop and deliver compliance trainings to enhance awareness and knowledge of applicable laws and regulatory requirements and new regulations;
-    Coordinate with other compliance officers to complete regulatory reporting, review, survey and self-inspection.

The General Compliance Officer is responsible for the following activities: 
-    Follow up and interpret the new laws, regulations and regulatory requirements of the securities sector;
-    Serve as procedure manager and assist to adapt to Group and regulatory requirements;
-    Implement the company's information barrier and conflict of interest management;
-    Organize and Implement compliance publicity/promotion and compliance culture construction;
-    Coordinate and implement compliance trainings and regulatory reporting;
-    Responsible for staff's professional ethics and whistle blowing;
-    Assist other compliance officers in other daily compliance management.

Permanent Control Aspects

-    Direct contribution to BNPP operational permanent control framework.
-    Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan
-    Comply with regulatory requirements and internal guidelines
-    Contribute to the reporting of all incidents according to the Incident Management System
-    Ensure audit recommendations are resolved within the specific timeline.

Technical & Behavioral Competencies

-    Well-versed in rules and regulations related to securities firms and other financial institutions
-    Familiar with daily compliance management work and relevant policies/procedures of securities firms
-    Good understanding of securities firms’ operations, products and services
-    Good analytical, interpersonal and communication skills
-    Fluent in English and Mandarin
-    Good computer skills in MS Word, Excel, PowerPoint, Outlook

Specific Qualifications
-    Securities practitioner qualification is a must
-    Securities sector practice experience for at least 5 years
-    Compliance Competency Test pass is a plus

Why should I apply?

Basically, why would you want to join BNP Paribas over any other company?


  • What if we told you that working in our Group isn’t quite what you might think? At BNP Paribas, we do a multitude of different jobs that are constantly evolving to meet the expectations of our clients and society as a whole. Whether through everyday tasks or major projects, doing one of our jobs means making a personal commitment to taking sustainable action.

  • Feeling good about your job means bringing your whole self to work and being who you are. It’s also about having the resources you need to achieve a healthy work-life balance. Both of these are major commitments at BNP Paribas.

  • At BNP Paribas, developing your skills is as important to us as it is to you. And the skills you learn with us will help you through the rest of your working life.

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