Conduct Officer
BNP Paribas Wealth Management
Hong Kong
5天前

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
  • BNP Paribas offers you an exciting career in an international business environment that is fast-paced, diverse and focuses on creating high-value relationships with our clients.

    We offer competitive salary and benefits, as well as a working environment where you’re valued as part of the team.

    https : / / careers.apac.bnpparibas /

    Position Purpose

  • Intervene as a Conduct officer, in the Conduct & Permanent Control C&C team and bring an active contribution to the achievement of C&C mandate :
  • As the first line of defense, to ensure the existence of a risk-based, sustainable and efficient framework surrounding Operational, Business and Conduct risks, in collaboration with the Business of WM in APAC.

  • Contribute to the Conduct & Control department duties, particularly related to Conduct matters, among others Front Office Conduct Surveillance, WM APAC Conduct Program monitoring, interaction with key stakeholders to ensure the successful implementation of Conduct initiatives
  • Act to establish the Conduct & Control Department as a keen partner for internal stakeholders in the full range of duties.
  • Promote a collaborative working environment, in both BAU tasks and ad hoc initiatives.

    Key Responsibilities

    WM APAC Conduct Program monitoring

  • Contribute to the monitoring and coordination of the Conduct Program (governance, Conduct Surveillance, Training & Awareness)
  • Identify and drive new initiatives to strengthen the Program and promote the dissemination of Conduct best practices, in all the Conduct-related areas
  • Engage and work closely with the key stakeholders to ensure a successful implementation of the Conduct Program (including senior management, project teams, Front Office, and other stakeholders);
  • Participate to the implementation of enhancements required by Head Office or Regional guidelines as well as audit recommendations
  • FOCS Framework

  • Participate in the definition, planning, implementation, execution and reporting of FOCS controls and surveillance (thematic reviews, accounts reviews, etc);
  • Contribute to the reflection and implementation of enhanced usage of data in the FOCS framework;
  • In liaison with other teams of Conduct & Permanent Controls (particularly the KSP Teams), organize, coordinate and support the Conduct assessment of KSP control results;
  • Prepare periodic reports and escalate in a timely manner any case deserving (immediate) Management attention
  • Conduct governance Decisions and actions follow-up

  • Contribute to preparatory works for the C&CC and C&EB (preparation of the agenda, materials, preparatory meetings, preliminary involvement of stakeholders), in close collaboration with the Head of Conduct & Permanent Controls;
  • Ensure the implementation, follow-up and status update reporting of decisions taken in C&CC and C&EB;
  • Coordinate with relevant internal stakeholders to address the process reviews and enhancements resulting from the control results or any other source reported to Conduct forums and follow up on the implementation of related actions
  • Conduct Training & Awareness

  • In liaison with the relevant stakeholders (L&D, People Development Team, Management, Head Office...), ensure the definition and implementation of the Conduct Training & Awareness roadmap;
  • Coordinate, schedule and participate in the refresher sessions and dilemma sessions with FO staff (controls results, Conduct Program progress...);
  • Report to the Conduct forums and Management the progress of the implementation of the roadmap
  • Communication

  • Escalate issues to Department Head in a timely manner for resolution
  • Participate in team meetings to discuss Risk, Conduct or any operational matters, progress status and issues noted
  • Contributing responsibilities

  • Take on ad hoc project assigned by the Department Head;
  • Provide support to other internal Conduct & Control teams, in case of needs
  • Competencies (Technical / Behavioral)

  • Advanced communication skills
  • Good writing and presentation skills
  • Able to work in a dynamic environment
  • Risk-oriented
  • Strong analytical mind and problem solving skill
  • Good team player
  • Self-motivated and multi-tasking
  • Specific Qualifications Required

  • University Degree Holder with minimum 3-5 years of relevant private banking working experience
  • Experience in a business management and / or business risk monitoring and / or project management with the understanding of private banking Front Office operational framework
  • Good understanding of regulatory environment and suitability framework
  • Strong analytical mind and problem solving skill
  • Fluent in English, Cantonese and Mandarin
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