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Regulatory Reporting and Surveillance Officer

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Last update 02.07.2024
What is this position about?

The main purpose of the team is to ensure timely, consistent and exhaustive transaction & positions regulatory reporting under APAC jurisdictions, such as HKMA, MAS, ASIC, SEBI etc for both Equities and Fixed Income products. The team is also the single point for regional Operations on new Regulatory initiatives.

The purpose of the position is to engage in new shortsell control activities across APAC assigned by the business. The role will also contribute to the team's goal through daily routine control measure and contribute to implementation of new control framework in order to minimize operational risk and comply with the regulatory requirements.

What would be your typical day at BNPP Paribas look like?

Involved in controls on Regulatory activities of the bank. Ensure all breaks are escalated in a timely manner to the relevant parties. Continue streamlining and improving quality of controls as a whole.

Primary Role Responsibilities

* Setup procedures and controls to minimize the operational risk on regulatory reporting.
* Ensure all APAC Shortsell controls are conducted & managed in an effective manner
* Enhance existing controls to streamline existing process and improve control efficiency and accuracy.
* Able to prepare data for specific surveys requested by Central banks and regulators.
* Assist in the preparation of regular updates to the ITO management, Compliance and Front Office on the status of the different initiatives.
* Define test cases, validate user testing and follow up with IT on new releases for upcoming regulatory projects

Other contributions

* Proposing new ways of working to the team
* Able to chair forums with stakeholders and be able to articulate complex ideas
* Able to support the team manager by proactively providing status update

What is required for you to succeed?

* Strong communication skills in managing & liaising with stakeholders relating to regulatory reporting
* Strong knowledge of Equities & Fixed income products and OTC trade reporting requirements
* Knowledge in Front to Back workflows and product event management is a plus
* Strong knowledge on Data Managing tools (Alteryx, Python), Excel skill, automation or script writing (e.g. VBA) is a plus.
* Strong sense of compliance and risk control
* Attention to detail and accuracy imperative
* Willing to speak up and propose new ideas to achieve process efficiency
* University degree holders
* Experience in the Banking industry especially in the global markets areas


As the leading European Union bank, and one of the world's largest financial institutions with an uninterrupted presence in the region since 1860, BNP Paribas offers a wide range of financial services for corporate, institutional and private investors spanning corporate and institutional banking, wealth management, asset management and insurance.

We passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued and encourage applicants of all backgrounds, including diversity of origin, age, gender, sexual orientation, gender identity, religion applicants who may be living with a disability. We have a number of internal employee networks in place to empower our staff to act and challenge the status quo.

* BNP Paribas PRIDE is highly active in favour of the LGBTQIA+ community
* BNP Paribas MixCity which fosters better representation of women at all levels of the organization
* Ability, the mutual aid network for employees with a disability or a disabling or chronic illness
* BNP Paribas CulturAll which celebrates diverse backgrounds

BNP is committed to financing a carbon-neutral economy by 2050. The Group is a founding member of the Net-Zero Banking Alliance and has set up its own Low Carbon Transition Group to support its clients through their energy transitions.


More information

BNP Paribas - Diversity & Inclusion Journey

BNP Paribas - The Bank Of Green Changes

Award Obtained

BNPP has won Top employer Europe award in a 10th consecutive year

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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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