Compliance Officer - Professional Ethics
In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 15,000 employees* and a presence in 14 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 74 countries with more than 190,000 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 opportunity in an international, challenging business environment characterized by high pace and diversity with focus on creating valuable relations with our customers. We offer a competitive salary & benefits package and also an excellent work environment where you're valued as part of our team!
* excluding partnerships
Contribute to the promotion of staff's professional ethics and culture of probity. Implement rules, processes and controls for misconduct prevention.
Note Professional Ethics is wide in scope. This includes conduct risk, gifts and invitation, personal account dealing, external activities, whistle blowing, and conflicts of interest involving employees.
- Adapt and deploy professional ethics country policies
- Assist in drafting of professional ethics country policies
- Adapt group policies to country constraints and deploy them at country level
- Conduct training on professional ethics
- Advise on professional ethics topics on country level
- Answer questions about professional ethics
- Approve staff's requests relating to personal investments, gifts & invitations, conflicts of interest and outside activities
- Implement controls and key reporting indicators
- Conduct second level control testing relating to personal investments, outside activities and gifts & invitations
- Prepare control testing and other related key indicator reports
- Run the annual compliance declaration process
- Escalate alerts, whistleblowing reports and investigations
- Detect transactions / activities with potential breaches of BNPP policies
- Escalate incidents / alerts to Country and Compliance Management, if considered necessary
- Handle whistleblowing reports and related investigations
- Participate in the development of professional ethics tools in their parameter
- e.g. automated personal investment declaration tool, gifts & invitations approval tool
- Issue Compliance reminders on Professional Ethics topics
- Prepare periodic reports for submission to Head Office and Regional Professional Ethics.
- Contribute to the promotion of staff's professional ethics and culture of probity
- Contribute to the permanent control framework
- Contribute to global and regional projects and initiatives on professional ethics, as and when required
Technical and Behavioral Competencies required
- Ability to work independently and be assertive in the communication of professional ethics compliance policies
- Attention for details and possess an investigative and questioning nature
- Good verbal and written communication skills in English
- Good computer skills in MS Word, Excel and PowerPoint
- University graduate in Banking and Finance, with relevant professional qualifications
- 5 years' experience in a role which has given them exposure to internal control framework
- Experience in compliance is preferred