The bank for a changing world

Compliance Officer Level B2 (Sanctions)


Standard / Permanent



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
  • Within Group Compliance, Group Financial Security (GFS)’s mission is to supervise and coordinate the organization and implementation of the control framework designed to prevent corruption, money-laundering and financing of terrorism, to comply with embargoes and international financial sanctions and to protect customers’ interests at the Group Level. To this end, BNP Paribas has set up a comprehensive filtering process of its SWIFT and SEPA messages, based on a centralized platform (SHINE). The alert management framework is organized in 3 levels, Level A, B (B1 - maker & B2 - validator), and C. This framework is put in place to screen and process alerts triggered on payments.
  • This role is within the second level (level B) of the alert management framework. This level investigates alerts escalated by the first level. Level B2, which is under Compliance’s responsibility, will make a final decision either to release, reject/block or escalate to the third level of the framework based on the investigation and supporting documents prepared by Level B1.
  • Level B2 will provide coverage across APAC, with hubs in Hong Kong (covering Hong Kong, Japan, China, Taiwan, South Korea and Australia) and Singapore (covering Singapore, Thailand, Vietnam, Indonesia, Malaysia, Philippines and India). The activities covered are Corporate Banking, Global markets, Wealth Management and Securities Services activities.
  • This role may require work on a rotational shift basis, details of which can be provided upon request.
Main Responsibilities
  • Investigate alerts escalated by the Level B1 in accordance with policies and procedures. Level B2, which is under Compliance’s responsibility, will make a final decision either to release, reject/block or escalate to the third level of the framework based on the investigation and supporting documents prepared by Level B1.
  • Keep updated on developments on sanctions, embargoes and related KYC/AML/CFT/Sanctions laws and regulations.
  • Implement sanctions monitoring standards in line with Head office and Regional policies, procedures and guidelines.
Detailed Responsibilities
  • Responsible for the production of services consisting of Level B2 review of Level B1 analysis and supporting document (including TWIST MAG)  to make a decision to release, block/reject or escalate according to the procedure in place; The role is performed :
    • By securing the appropriate systems, procedures and resources to perform the service
    • By closely monitoring the delivery of service and taking all necessary actions required to meet quality standards.
    • By reporting incidents and/or oversight with comprehensive details
  • Responsible for managing stakeholder relationships (Level A, Level B1 and APAC Financial Security) :
    • By conducting regular operational business reviews and maintaining good communications with APAC Financial Security
    • By giving descending feedbacks to Level A on alerts wrongly escalated to Level B
    • By ensuring that the Level B1 staff receive regular feedbacks and trainings related to the handling of alerts
    • By informing regularly his/her management and contributing to any other reports required by the management
  • Responsible for contributing to the filtering activity by personally handling screening on the filtering platform SHINE, especially at times of high volumes in order to ensure timely provision of service, and by providing their expertise and guidance to the team members

Contributing Responsibilities

  • Contribute to the Permanent Control framework


Experience and Competencies Required
  • Experience in banking industry in the area of Financial Sanctions and AML alert analysis process and related issues. 
  • A good understanding of corporate banking and trade finance operational processes and flows
  • Familiar, proactive and alert with international AML regulations and financial sanctions
  • Good communication skills and eager to learn
  • Analytical and with an eye for accurate details
  • Ability to work in a team as well as independently
  • Knowledge of the payment filtering tool FircoSoft will be an advantage
  • Strong interpersonal skills
  • Relevant experience in trade finance flows would be preferred.
  • Strong interpersonal skills with the ability to communicate and consult at all levels
  • Ability to organize, to manage stress and promote objectives
  • Committed to confidentiality, integrity and objectivity
  • Ideally be flexible and with a hands-on work style

Objectives - Key Performance Indicators

Production of Service

  • Ensure that the production queues are managed properly, taking into account operational priorities (e.g. cut-off times or exceptionally urgent transactions)
  • Identify, document and propose “Good Guys” exceptions on a regular basis
  •  (1) Identify corrective actions (including training) as/when required to address potential issues and errors, (2) document and implement these actions, (3) monitor their effectiveness and the respect of the updated requirements
  • Ensure Level B2 SHINE control process, through analysis and clearance of transaction alerts in accordance with prevailing AML & Sanctions policies and procedures, in the respect of quantitative and qualitative expectations set by the Management
  • Ensure escalation of transaction alerts to level C as and where appropriate.


  • Be familiar with all procedures and guidelines in place regarding AML & Sanctions policies, and in particular with TWIST process
  • Be familiar with all types of business activities covered, including (but not limited to) CIB, Wealth Management and BP2S.
  • Attend required training sessions (including training on the filtering tool, FircoSoft)

Reporting and Relationship Management

  • Report the required key indicators and control reports which are under the responsibility of the team
  • Attend and contribute to Level B production meetings.