As the BNP Paribas Compliance Transformation progresses, the role of Regulatory Office Compliance Officers will evolve in line with the new Compliance operating model. He/she will cover:
- Regulatory Office: to provide reasonable assurance with respect of applicable laws and regulations within the territory.
- PE correspondents: to assist the Head of PE in APAC with the overall objective to promoting a shared common culture of probity and improve staff behavior.
Regulatory Office (RO)
● He/she is responsible for working on the regulatory watch and updating procedures relating to regulatory guidelines and rules. This includes:
● Disseminate and advise on regulatory updates to relevant parties;
● Responsible for monitoring licensing conditions;
● Assist the Head of Compliance for the territory in projects involving regulatory consultations, review, etc.
● Assist the Head of Compliance for the territory in regulatory compliance and regulatory relationship matters with the regulators, industry associations and other external parties.
● He/she assists Head of compliance to validate the policies to be adhered by the territory and controls that they are respected and implemented by achieving a twofold objective:
● Independence of decisions; binding advice
● Close partnership with the business to provide them, guidance and advisory
● He/she works in close cooperation with Head of Compliance for the territory and business line heads to ensure consistency of decisions and operating models.
● He/she works in close cooperation with Head of Compliance for providing timely and accurate regulatory submissions in terms of surveys, consultations, etc.
● Coordinate/ monitor of reports required by Central bank that need across BNPP departments to involve.
● Record Statutory Declarations in the log, track the signed Statutory Declarations, approve requests in Sailpoint, send updated list to Regional team
● Scan the new local regulations, log in the management sheet and filling
● Support to collect documents evidences for conducting Control plan on PE, MI, PIC.
● Disseminate regulators’ requirement for ad-hoc report or basic/simple reminder/notices
● Prepare licensing documentation to submit to regulators
● Manage ref. no. of outgoing correspondence letters
● Coordinate to organize Compliance committee, writing minutes
● Coordinate to organize training for new joiners or ad-hoc Compliance topic
● Extract report of training courses attendance to remind deadline to complete
● Manage expired MyProcedures by CIB procedures for review/update
● Input the implementation paths for all procedures in “To-do” list in the CRMS Procedure Module
● Draft letters/response letters to SBV, the Court, Tax Dept., Custom Dept. (on client information)
● Other tasks assigned by Head of Compliance
Professional Ethics (PE)
• To align with the development of PE policies and guidelines provided by Paris Head Office and APAC PE
• To coordinate with other local Compliance (if applicable) to update PE compliance policies
• To implement rules, processes and controls for misconduct prevention, as well as prevention and follow‐through of due process.
• To ensure the consistency of the Code of Conduct integration into the country’s action principles for the employees
• To closely liaise and communicate with local BL and/or OP Compliance for PE matters
• To provide (or jointly with local Compliance) advice and support to employees of BL, Territories and Entities
• To coordinate PE meetings within the local country should there be multiple entities with different local compliance teams (if applicable)
• To coordinate with local Compliance to ensure implementation of PE controls including local specific controls
• To coordinate with APAC CCRM team to ensure performance of PE GCP and / or onsite reviews (if applicable)
• To contribute to and/or coordinate with local / OP Compliance for CCIRC / GRAM / CRMS exercise and applicable risk assessment exercise from PE perspective
• To handle the whistleblowing alerts directly conveyed to him/her while guaranteeing confidentiality
• To handle breaches in PE policies in accordance with APAC guidelines and/or local procedures
• To perform training and ensure sensitization of PE topics
• To closely liaise with APAC PE team to ensure consistent approach in handling PE matters within the context of local regulatory requirements
• To contribute and support global and regional PE projects including IT and Efficiency projects and initiatives as and when required
• To actively attend and contribute towards ad-hoc and regular meetings arranged by Paris Head Office PE and APAC PE
• To timely share or provide PE related policies, procedures, trends, dashboards, statistics and other intelligence with APAC PE, as and when required
• To escalate to Head of APAC PE when there is a complex PE situation for decision making / consultation
Financial Security
• Coordinate screening request from Regional and Local regulator (sending request to CLM for screening, follow up and report on the result)
• Make reports to local regulators on screening request
• Perform maker level for adding names to local blacklist and to Vigilance
Key Interaction
• Compliance Vietnam Team
• Other Business Lines/ Functions within Vietnam
Experience and Qualification required
- University
graduate with major in Business Administration, Legal, Finance or Accounting.
- At least 5 years of banking and/or regulatory experience
- Good command of written and oral English and Vietnamese
