Compliance Officer - WM Compliance Transversal

BNP Paribas (Asia)
Hong Kong
15 Aug 2017
21 Aug 2017
Contract Type
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.

Position Purpose

To perform compliance testing and AML controls, to drive / participate in AML projects.

Key Responsibilities

Primary responsibilities:
  • To identify and control compliance risks, implementing monitoring measures, identify exceptions and implement remediation plan with relevant stakeholders.
  • To assist in coordination of regulatory inspection and investigation.
  • To assist in preparing relevant compliance reports pertaining to Wealth Management for submission to Head Office and ensuring the accomplishment of the Department's mission.
  • To ensure compliance with applicable laws and regulations. Keep abreast on new regulations and to update Management and staff on changes in regulations. To draft and implementing policies and procedures as a result of changes in Head Office directive or local laws and regulations and updating such rules and regulations relevant to Wealth Management.
  • To drive or participate in AML related projects from Compliance perspective.
Secondary responsibilities
  • To provide training on compliance issues and promote compliance awareness and culture.
  • To advise Business and Functions on compliance and regulatory issues.
  • To carry out the client acceptance and review process and to ensure that compliance especially with issues like money laundering, due diligence on clients, know-your client process, sanctions, transaction monitoring.

Competencies (Technical / Behavioural)
  • Experience in performing compliance testing or audit background is an advantage.
  • Ability to co-ordinate with different parties in compliance project; analyse and resolve issues in the project with minimal supervision to ensure on time delivery.
  • Familiar with Hong Kong laws and regulations; a good knowledge of compliance framework.
  • Work well with people and under pressure; have strong communication skills.
Specific Qualifications Required
  • A graduate of a tertiary institution.
  • At least 7 years' experience in Compliance or Control Function.