The bank for a changing world

Senior Compliance Officer, Global Markets


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.
Department Overview
In an ever changing world with a continually shifting regulatory landscape, Compliance supports the CIB and RB&S teams globally to deliver award winning products and services to their clients.  Compliance sits at the heart of BNP Paribas’ internal control framework and is independent from the CIB and RB&S businesses. 
Position Purpose
This role enables the candidate to join an established team enjoying strong relationships with business areas and support functions, and work in an experienced and professional environment to maintain a strong compliance culture within Global Markets Compliance in Hong Kong.  Specifically, this candidate will be based on the trading floor in Hong Kong.  The candidate would report to the Head of Equities Compliance, APAC, Global Markets.
Key Responsibilities
  • Provide advice to front, middle and back office on regulatory and compliance issues
  • Advise business on relevant new laws, rules and regulations in the region
  • Work independently in various local compliance projects
  • Review of new product/significant transaction proposals and provide comments
  • Liaise with local regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveys
  • Perform compliance-related matters such as approving of marketing materials, system access, advice of licensing matters with the support of the licensing team, preparation of internal compliance reports with the assistance of a junior staff
  • Conduct training on new rules and regulations as well as promotion of compliance awareness and culture, where needed
  • Investigate potential compliance incidents or breaches in conjunction with various internal parties
  • Prepare and update local or regional compliance policies and procedures, where necessary
  • Work closely with the business and country compliance officers in the region to advise on cross border activities or projects
  • Assist rolling out or implementing global or regional policies and procedures

Competencies (Technical / Behavioral)
  • Strong knowledge of regulatory and compliance requirements
  • Knowledge of regulatory requirements in Asia Pacific region is an advantage
  • Strong interpersonal skills, with the ability to communicate and consult clearly at all levels - business, management and other support functions
  • Knowledge of risk and control framework or procedure of a financial institution
  • Strong analytical and problem solving skills
  • Able to work independently adopting a hands-on approach
  • Ability to handle multi-tasks

Specific Qualifications/Experience Required


Education & Experience:

  • Undergraduate Degree with 8 years or more experience in the compliance department of financial institutions, international brokers or securities regulators; with knowledge of equities products and/or capital market activities, preferably with advisory experience.
  • The candidate should have a good understanding of the regulatory environment and the key challenges and developments which the business as well as the wider industry faces.