Job Description

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.

• excluding partnerships

At BNP Paribas, we passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued, respected and can bring their authentic selves to work. We prohibit Discrimination and Harassment of any kind and our policies promote equal employment opportunity for all employees and applicants, irrespective of, but not limited to their gender, gender identity, sex, sexual orientation, ethnicity, race, colour, national origin, age, religion, social status, mental or physical disabilities, veteran status etc. As a global Bank, we truly believe that inclusion and diversity of our teams is key to our success in serving our clients and the communities we operate in.

Position Purpose

Market Integrity (MI) Compliance domain in APAC operates under various units, namely Control Room, Monitoring and Surveillance, Governance/Framework, and Advisory. The teams are located across different APAC countries with the hubs in Singapore, Hong Kong and Japan, and with India supporting as an outsourced unit for various monitoring and surveillance functions.

Within the MI Framework team, the Compliance officer is in charge of the monitoring and oversight of BNP Paribas Group framework in APAC on market integrity topics. In this capacity, the Officer interacts directly with Business Lines and Functions in the region, and works closely with other MI teams in Europe and US. The major streams involve bringing expertise and advisory, following up on regulatory changes and deployment, contributing to the control and risk assessment framework, policies and procedures, and training.

Responsibilities

• Advise business lines and functions on MI related inquiries;
• Prepare and escalate decision cases to the APAC delegation holder;
• Escalate sensitive transactions, sensitive new activities / products, incidents and investigations;
• Detect transactions / activities / products with potential impact on BNP Paribas clients / activities / reputation;
• Contribute to the monitoring of incidents in collaboration with business lines and functions;
• Escalate serious incidents and regulator investigations to Senior Management and at MI central level;
• Assist in compliance related matters during examinations by the Bank's regulators and internal auditors/IG;
• Contribute to global MI policies, and adapt them to local constraints;
• Suggest training actions to be supported locally;
• Advise on the execution of the generic control plans and independent testing;
• Identify and assess key compliance risks applicable to all business activities through risk assessment exercises;
• Evaluate the overall effectiveness of MI frameworks in reducing overall risk level within the business lines;
• Implement MI global initiatives and projects, in coordination with central domain and taking into account local constraints;
• Lead and participate to periodic governance forums

Qualifications

Technical & Behavioral Competencies

• University graduate with major in Accounting, Business Administration, Economics, Finance or Law or equivalent qualification;
• Good knowledge of securities and derivatives markets, businesses, products;
• Strong organizational and project management skills (documentation, issue tracking, effective coordination);
• Analytical and problem solving skills with the ability to exercise sound and balanced judgment;
• Ability to frame and document complex issues in order to prepare for senior managers decisions;
• Interpersonal skills with the ability to communicate and consult at all levels;
• Proactive in identifying risks and proposing solutions;
• High attention to details;
• Strong work ethics and Compliance mindset and integrity