Compliance Officer (Global Market Fixed Income Compliance - Transversal)
BNP Paribas Personal Finance
Hong Kong


Prioritize and execute the Global Markets and ALM Treasury Transversal Compliance Office book of work

Perform Coverage work, including but not limited to compliance advisory and compliance program

Advise business on relevant new laws, rules and regulations

Liaise with regulators and execute regulatory inquiries, audits, inspections, questionnaires and surveys

Perform analysis to assess the potential impacts on business processes and controls, and provide Compliance advice to 1LOD on gaps identified

Execute remediation projects to mitigate issues identified in inspections and audits, operational and compliance incidents and breaches in conjunction with internal stakeholders

Responsible for coordinating with other team members to ensure seamless execution

Escalate appropriately and timely Compliance issues to the APAC Head of Global Markets Transversal Compliance Office

Handle potential compliance issues or breaches in conjunction with various internal parties, where necessary

Represent compliance on business projects

Communicate matters and issues to business when required. Assist in production of periodic MIS and KPRIs as directed

Responsible for identifying opportunities for efficiencies and / or renunciation

Ad-hoc requests and general administrative support to the APAC Head of Global Markets Transversal Compliance Office

Competencies (Technical / Behavioral)

Solid understanding of Hong Kong Banking laws and HKMA regulations as applied to Global markets Fixed Income products.

Strong working knowledge of Fixed Income products (Rates / Government Bonds, FX / Commodities, Corporate Bonds) as well as instruments types (Swaps, Options, Repos)

Knowledge and understanding of similar laws and regulations in North Asia (especially China) preferable

Strong interpersonal skills, with the ability to communicate and consult clearly at all levels - business, management and other support functions

Knowledge of risk and control framework or procedure of a financial institution

Strong analytical and problem solving skills

Able to work independently adopting a hands-on approach

Ability to handle multi-tasking

Specific Qualifications / Experience Required

Education & Experience :

  • Undergraduate Degree with 8 years or more experience in the Compliance department of financial institutions, international brokers or securities regulators;
  • with strong knowledge of equities / prime products in APAC, preferably with advisory experience.

    The candidate should have a good understanding of the regulatory environment and the key challenges and developments which the business as well as the wider industry faces.


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