The bank for a changing world

Compliance Officer, Corporate Banking and Regulatory Compliance


Standard / Permanent


HK-Hong Kong (HK)-Hong Kong

Job function




BNP Paribas
The BNP Paribas Group is a leader in banking and financial services, employing over 185,000 people across 75 countries and 5 continents. At BNP Paribas, we work continuously on behalf of our clients, helping them to realise their projects around the world. You can be an important part of this, helping us to serve our clients both in mature and emerging markets, providing them with financial solutions across a diverse range of expertise, products and services. Our origins lie in Europe but nearly a quarter of our employees now work in our multi-award-winning Asian offices and we are a committed player in all APAC markets.

In Asia Pacific, BNP Paribas has been present in the region for over 150 years and plans to grow its business from €2bl EUR to €3bl EUR by the end of 2016. With 9,000 employees in the region and a presence in 14 markets (with 3 main centres in Hong Kong, Singapore and Tokyo), BNP Paribas offers you the chance to grow with us in Asia Pacific.

BNP Paribas offers you an exciting career opportunity in an international, challenging business environment characterized by high pace and diversity with focus on creating valuable relations with our customers. We offer a competitive salary & benefits package and also an excellent work environment where you're valued as part of our team!
Position Purpose
  • To perform compliance reviews, handle compliance advisory and regulatory matters, and support other compliance work.


Key Responsibilities

  • Advise Corporate and Transaction Banking business on compliance related matters and ensure their activities are carried out in accordance with the applicable laws, rules and regulations.
  • Perform regular and ad hoc compliance testing Assist in identifying and controlling compliance risks and providing advice to business management on compliance issues.
  • Keep abreast of new regulations and update business management and staff on the changes.
  • Assist in disseminating circulars and notices from the regulators in other forms (e.g. emails) and implementing the regulatory requirements.
  • Assist in drafting, updating and implementing compliance policies and procedures in response to changes in Head Office directives or local laws, rules and regulations.
  • Conduct compliance training to staff and promote compliance awareness and culture.
  • Ensure appropriate and prompt escalation to both business and compliance management on identified issues and report to operational risk incident database where appropriate.
  • Investigate in conjunction with business management and various internal functions where necessary and handle actual and potential compliance breaches including complaints.
  • Prepare relevant compliance reports for submission to Head Office.
  • Liaise with regulators and coordinate / perform regulatory reporting, self-assessments, inspection and investigation, and handle requests from regulatory authorities.
  • Coordinate internal and external audits and follow up on implementation of recommendations.
  • Assist in other compliance matters as assigned from time to time.


Competencies (Technical / Behavioural)

  • University graduate with major in Business Administration, Legal, Finance or Accounting.
  • At least 5-8 years’ experience in Corporate Banking Compliance and/or Central Compliance.  Prior regulatory experience is preferred.
  • Conversant with Hong Kong laws, and HKMA and SFC regulations.
  • Knowledge of Trade Finance and RMB products would be preferred.
  • Work well with people and under pressure.
  • A good knowledge of compliance framework and financial products.
  • Have strong communication skills.