Compliance Officer (Policy Management Focus)
BNP Paribas Personal Finance
Hong Kong
2天前

Run the bank

Identify and assess the key compliance risk issues applicable to all business activities through various risk assessment exercises

Monitor and evaluate the overall effectiveness of MI governance frameworks in reducing overall risk level within the business lines

Designing, developing, implementing and maintaining MI Compliance programs (i.e. MI GCP and local controls) across APAC entities

Report findings and provide solutions to Senior Management in addressing control gaps or ways to mitigate the risks highlighted in the risk assessments

Conduct or assist with special investigations and projects as deemed necessary by senior Compliance and business management.

Ensure winding down the duplicated controls in place within Compliance APAC

Assist in compliance related matters during examinations by the Banks regulators and internal auditors / IG.

Harmonization :

Integrate MI governance frameworks across all levels of the Compliance organization.

Coordinating with the Group and CIB / WM MI domain on various global MI projects related with risk analysis, policies, testing and reporting

Operational Efficiency :

Drive continuous improvement on tools and processes to avoid duplicated controls and optimize compliance review programs

Stakeholder Management

Provide briefings to senior Group & CIB Compliance and GM business stakeholders such as GBL Heads

Identify and engage key stakeholders across businesses and functions.

Competencies (Technical / Behavioural)

University graduate with major in Accounting, Business Administration, Economics, Finance or Law or equivalent qualification

At least 05-10 years regulatory or compliance experience

Demonstrated staff management experience across different countries and nationalities.

Demonstrate capacity for sound project management, analytical and problem solving skills with the ability to exercise sound and balanced judgment.

Demonstrate strong interpersonal skills with the ability to communicate and consult at all levels, especially with senior management.

Committed to confidentiality, integrity and objectivity

Good knowledge of securities markets, businesses, products

Familiar with securities and exchange rules and regulations

Proactive in identifying risks and proposing solutions

Good written and oral communication skills

High attention to details

Ability to handle multiple tasks simultaneously and work under tight deadlines

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