Compliance Officer - Professional Ethics

2 days left

Recruiter
BNP Paribas (Asia)
Location
Singapore
Salary
Competitive
Posted
15 Aug 2017
Closes
22 Aug 2017
Sector
Legal
Contract Type
Permanent
Hours
Full-time
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

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.

Responsibilities

Direct Responsibilities
  • 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.
Contributing Responsibilities
  • 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
Experience and Qualifications required
  • 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