Compliance Officer, GM (FXLM, Rates, PCM and ALMT Compliance, APAC)
BNP Paribas
Hong Kong

About BNP Paribas in Asia Pacific ( )

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
  • Position Purpose

    This role enables the candidate to join an established team enjoying strong relationships with business areas and Support Functions, and work in an experienced and professional environment to maintain a strong compliance culture within Global Markets Compliance team in APAC.

    Specifically, the incumbent would support the GM Compliance Head and other GM Compliance team leads on all Financial Security Compliance issues relevant and related to the Global Markets business in APAC, and support the North Asia Regional GM (FXLM, Rates & PCM) Compliance Head to discharge compliance advisory services in GM (FXLM, Rates & Credit) and ALM Treasury businesses on a day-to-day basis.

  • In respect of the team’s regional brief, the incumbent shall provide advisory services to North Asia region, and with Hong Kong as the main hub, in liaison with the dedicated GM Compliance Officers and / or the Country Compliance Officers;
  • and ensure consistency of approach and provide the necessary technical support to officers in the region with these objectives in mind.

    Key Responsibilities

    Specifically, as an advisor covering the Financial Security related issues for the APAC GM Compliance team, and product advisory issues for GM (FXLM, Rates & PCM / ALMT) Compliance North Asia team, he / she will :

    On the Financial Security Compliance side :

  • Act as the key compliance contact with the APAC and Hong Kong Financial Security Compliance team, and participate in all relevant calls, meetings, and training organized by the APAC Financial Security Compliance on behalf of APAC GM Compliance
  • Assist the APAC GM Compliance team to identify, manage, and address all potential and real financial security related issues, including amongst others, the issues in relation to anti-
  • money laundering, sanctions, and anti-bribery area

  • Monitor the changes and development on relevant local new laws, rules and regulations in relation to various financial security areas
  • Assist the APAC GM Compliance with the annual / regular risk assessment processes (particularly the GRAM exercise) in relation to Financial Security area
  • implementation of various group Financial Security Compliance related initiatives, policies and procedures applicable to Global Markets business in APAC
  • On the GM (FXLM, Rates & PCM)side :

  • Review new business and product proposals or transactions; and approve in accordance with delegated authority
  • Respond promptly to enquires on compliance related maters
  • Assist in the management of its compliance programme, such as review of marketing documents, conflicts identification and mitigations, assisting the Compliance Review team to carry out compliance desk reviews, follow through of trade surveillance alerts
  • Periodic review, update and introduction of Compliance policy and procedures to ensure continuing relevance; and providing guidance, interpretation and direction to stakeholders.
  • Handle local compliance issues, incident, and breaches in conjunction with various internal parties, where necessary, and prepare MIS and incident reports
  • Assist stakeholders and compliance team to keep abreast of regulatory developments and in the interpretation of regulatory changes and their likely impact on the business and its processes, procedures, controls and products (gap analysis)
  • Advice and assist the FOCS, CCRM, and / or the MI Independent Testing teams in the design and execution of various 1LOD and 2LOD monitoring and surveillance control systems in place operate effectively so that compliance related issues are readily identified and remedial actions implemented in order to minimize risk, and taking appropriate steps to improve its effectiveness
  • Assist in the production of periodic MIS and KPIs as directed
  • Assist in the organization, administration and provision of compliance training for new employees and as well as on-going training for all employees
  • Ad hoc requests such as participation in specific projects, as directed from time to time by the Head of GM Compliance APAC and / or Head of GM (FXLM, Rates & PCM) Compliance, North Asia
  • Competencies (Technical / Behavioral)

    The incumbent will have knowledge in most if not all of the following asset classes :


    OTC derivatives in Interest Rates Credit, Foreign Currency, Structured deposits

    Foreign exchange

    Subject specialism would also be useful, e.g. primary market activities, wall crossing, conflicts management, KYC and characterization requirements, suitability and client interest protection, sale of investment products, etc.

    Relevant experience and strong knowledge in the area of Financial Security Compliance including anti-money laundering, sanctions, and anti-bribery.

    Strong analytical and problem solving skills. Willing to learn, tenacious, hardworking and enthusiastic. The candidate must possess good communication and social skills to be a team player and work with all levels.

    Independent minded, with good command of written and spoken English. Sound knowledge of Word, Excel and PowerPoint.

    Specific Qualifications Required

    Education : Undergraduate Degree

    Experience : A minimum of 5 or more years of experience in the compliance department of a financial institution, with knowledge of fixed income products and / or capital market activities such as FI DCM or Syndicate.

    Possess an excellent knowledge of Financial Security Compliance related areas, including local requirements and their practical applications into the Global Markets business.

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