Senior Compliance Officer
BNP Paribas
Hong Kong

In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860.

Currently with over 17,000 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 73 markets with more than 196,000 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 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.

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    Position Purpose

  • Handle private side compliance, research compliance and Control Room tasks
  • Key Responsibilities

  • Provide advice to Investment Banking Department, FIC and Equity Research Department
  • Attend Mandate & Underwriting Committee Meetings
  • Assess and manage potential conflicts of interest
  • Provide contribution to independence check
  • Assist with pre-deal research publication process and coordinate with Business, Compliance and External Counsel in regards to pre-deal research
  • Provide compliance clearance on research products and ensure that all publications of research comply with firm policies and applicable legal provisions
  • Enhance existing operation process
  • Assist with the maintenance of the Firm’s Restricted List, Watch List and Grey List
  • Facilitate barrier crossing requests and update the associated systems
  • Handle other compliance tasks as required to achieve team objectives
  • Work closely with relevant parties to support team visions
  • Competencies (Technical / Behavioral)

  • Good communication and interpersonal skills with ability to build good working relationships with different business, management and other functions
  • Good knowledge of securities markets, business, products
  • Proactive in identifying risks and proposing solutions
  • Ability to work through tasks systematically and monitor own work to ensure consistency and timeliness.
  • Ability to learn and understand applicable regulatory rules and regulations and industry best practices.
  • Ability and strong desire to work as part of an effective and collaborative team.
  • Effective written communication skills for report writing and analysis.
  • Responsible, thorough, professional and high regard for accuracy and quality
  • Attention to detail, efficient and strong administration / organization skills
  • Able to work under pressure
  • Specific Qualifications Required

  • 10 years of relevant experience related to private side compliance or Control Room is an advantage
  • Bachelor’s degree or equivalent in Finance, Law or related subject
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