Job Description

As the leading European Union bank, and one of the world\'s largest financial institutions with an uninterrupted presence in the region since 1860, BNP Paribas offers a wide range of financial services for corporate, institutional and private investors spanning corporate and institutional banking, wealth management, asset management and insurance.

We passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued and encourage applicants of all backgrounds, including diversity of origin, age, gender, sexual orientation, gender identity, religion applicants who may be living with a disability. We have a number of internal employee networks in place to empower our staff to act and challenge the status quo.

BNP Paribas PRIDE is highly active in favour of the LGBTQIA+ community
BNP Paribas MixCity which fosters better representation of women at all levels of the organization
Ability, the mutual aid network for employees with a disability or a disabling or chronic illness
BNP Paribas CulturAll which celebrates diverse backgrounds

BNP is committed to financing a carbon-neutral economy by 2050. The Group is a founding member of the Net-Zero Banking Alliance and has set up its own Low Carbon Transition Group to support its clients through their energy transitions.

https://careers.apac.bnpparibas/

More information
BNP Paribas - Diversity & Inclusion Journey
BNP Paribas - The Bank Of Green Changes

Award Obtained
BNPP has won Top employer Europe award in a 10th consecutive year

Position Purpose

Responsible for Protection of Interests of Clients (PIC) matters for WM APAC and Sharekhan.

Responsibilities:

• Contribute and participate in the PIC APAC WM initiatives, providing inputs from WM perspectives.
• Provide advice to the Investment Services team as well as Front Office in HK/SG on investment related regulations, best practices and internal policies.
• Participates in the product review committees, assessing whether new products comply with relevant laws, regulations, best practices and internal policies.
• Provide compliance advice in relation to PIC to business and other stakeholders in a constructive manner taking into consideration of regulatory and group requirements.
• Help implement new requirements as a result of regulatory requirements or PIC related policies and procedures.
• Review marketing brochure/client communication taking into consideration PIC requirements.
• Review serious mismatches, and mismatches escalated to Compliance in a timely manner.
• Review and update the suitability procedures and ensure Compliance inputs are provided taking into consideration of regulatory and group requirements.
• Perform Compliance reviews/controls required in the suitability procedures as well as the internal Compliance control framework for suitability.
• Review of IPQ performed by clients and unblocking requests.
• Monitor PIC complaints.
• Preparation and collation of statistics/reports for WM Compliance SG/HK and PIC regional domain.
• Participate in assigned projects within WM and in PIC domain, providing relevant inputs on compliance and regulatory issues related to PIC.

Technical and Behavioural Competencies preferred

• Technical skills
• General knowledge of applicable regulatory frameworks and their evolutions.
• Knowledge of Compliance issues and challenges specific to wealth management and for the countries to be covered in APAC Region.
• Knowledge of bank activities & products.
• Regulatory literacy.

Soft skills

• Integrity
• Accuracy
• Self-confidence
• Ability to learn (curiosity)
• Client focus
• Vision
• Decision-making skills
• Impact
• Acting with perspective
• Courage

eFinancialCareers