In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 18,000 employees* and a presence in 13 markets, BNP Paribas provides corporates, institutional and private investors with product and service solutions tailored to their specific needs. It offers a wide range of financial services covering corporate & institutional banking, wealth management, asset management, insurance, as well as retail banking and consumer financing through strategic partnerships.
Worldwide, BNP Paribas has a presence in 68 markets with more than 193,000 employees. It has key positions in its three main activities: Domestic Markets and International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises: corporate clients and institutional investors. Asia Pacific is a key strategic region for BNP Paribas and it continues to develop its franchise in the region.
BNP Paribas offers you an exciting career in an international business environment that is fast-paced, diverse and focuses on creating high-value relationships with our clients. We offer competitive salary and benefits, as well as a working environment where you’re valued as part of the team.
https://careers.apac.bnpparibas/
Position Purpose
This is a transversal position to provide compliance oversight and control to contribute in general compliance management of the securities firm.
Responsibilities
- Provide compliance advisories to business lines’ daily inquiries;
- Assist in developing/updating local compliance and/or operating procedures for business lines to adapt to Group and regulatory requirements;
- Provide compliance support and guidance to business, in particular to actively participating in and support the new business growth and ensuring associated compliance risks are properly identified and addressed;
- Work with businesses to ensure that applicable regulatory changes/updates are implemented timely and efficiently and track and oversee non-standard regulatory requests;
- Monitor business lines’ compliance activities by conducting risk-based compliance control testing;
- Develop and deliver compliance trainings to enhance awareness and knowledge of applicable laws and regulatory requirements and new regulations;
- Coordinate with other compliance officers to complete regulatory reporting, review, survey and self-inspection.
The General Compliance Officer is responsible for the following activities:
- Follow up and interpret the new laws, regulations and regulatory requirements of the securities sector;
- Serve as procedure manager and assist to adapt to Group and regulatory requirements;
- Implement the company's information barrier and conflict of interest management;
- Organize and Implement compliance publicity/promotion and compliance culture construction;
- Coordinate and implement compliance trainings and regulatory reporting;
- Responsible for staff's professional ethics and whistle blowing;
- Assist other compliance officers in other daily compliance management.
Permanent Control Aspects
- Direct contribution to BNPP operational permanent control framework.
- Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan
- Comply with regulatory requirements and internal guidelines
- Contribute to the reporting of all incidents according to the Incident Management System
- Ensure audit recommendations are resolved within the specific timeline.
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