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KYC Expert, Transfer Agency and Investor Services

Last update 25.06.2024
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.
https://careers.apac.bnpparibas/
The position of Assistant Vice President in BNP Paribas Hong Kong Investor Services Department is to perform as a client lead with a focus on high quality client service. The role requires the ability to address client and investor issues and concerns, day-to-day trades, static data updates, and reporting. In addition, contribute and/or lead ad hoc projects either for specific client initiative or for internal team strategic initiatives such as process improvement, system upgrades and enhancements. The role is a professional partner with clients, investors and all internal stakeholders. Written and spoken knowledge of mandarin is an advantage for some of our key clients.
The position of KYC Expert, Associate/AVP, in BNP Paribas Hong Kong Investor Services Department is to perform as a client lead with a focus on high quality client service.  The role requires the ability to address client and investor issues and concerns, day-to-day trades, static data updates, and reporting.  In addition, contribute and/or lead ad hoc projects either for specific client initiative or for internal team strategic initiatives such as process improvement, system upgrades and enhancements.  The role is a professional partner with clients, investors and all internal stakeholders.  Written and spoken knowledge of mandarin is an advantage for some of our key clients.

Direct Responsibilities

  • Act as key point of contact for investors and clients
  • Ensure queries and requests from investor/client are dealt with in a timely and professional manner
  • Maintain and develop trust based relationships with investors/clients
  • Partner with clients by providing professional advice and resolutions where required
  • Ensure a satisfactory and high level of service is delivered to investors/clients, and that the Client SLA’s are met
  • Manage and resolve issues relating to day to day trade processing and reporting; review junior’s work and take accountability of all assignments
  • Work closely with internal BNP Paribas teams both within the department but in other locations or with other departments to ensure cohesive client delivery
  • Act as an escalation point and deal with difficult issues not being handled by junior staff
  • Ensure delivery of work and services are in a controlled manner with strict compliance with BNP Paribas’ internal policies and procedures as well as fund document and external regulatory requirements
  • Lead and undertake special projects such as Annual FINRA / Regular AML Recertification and Annual FATCA/CRS Reporting
  • Represent the team in client, auditor and inter-department meetings.
  • AML/CFT risk awareness and complete all identified mandatory training to ensure understanding of relevant/applicable Group policies (including but not limited to financial security related matters) and to escalate any irregularities where necessary. To also ensure that his/her team has completed and will adhere to the same.

Contributing Responsibilities

  • Make recommendations to the department head or other operation teams where improvement is needed for enhancing client satisfaction and delivery
  • Assist in training and coaching staff to enhance performance
  • Assist in new mandate pitching meeting and fund documentation review / fund structure discussion
  • Lead the implementation of system updates, new initiatives and systems and amendments to processes and procedures
  • Lead the team to complete the regular audit exercises including internal, risk and ISAE audits as well as fund audits and institutional investor audit confirmations

Risk and Compliance

  • Ensure the operating model in compliance with regulations, market infrastructure evolution and BNP Paribas internal control rules and meet compliance and regulatory obligations

Conduct

  • Adhere to the Code of Conduct and act accordingly internally, when facing clients and providers

Technical & Behavior

  • Able to collaborate with other team members and provide assistance in BAU and project
  • Being approachable by the junior staff for any enquires, with a positive working attitude and mindset setting role model to the teams
  • Able to contribute on any business change and assist to drive the change
  • Possess the required level of conduct that is promoted by the organization
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BECAUSE YOU'RE THE KIND OF PERSON WHO WANTS...

  • 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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