Compliance Officer, Professional Ethics
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

    Conduct licensing and supporting other compliance review work. Implement rules, processes and controls to mitigate the conduct and regulatory risk.


  • Adopt and deploy licensing regulatory requirements within BNPP
  • o Handle SFC and HKMA licensing and regulatory appointment matters

    o Track status for licensing examination and CPT

    o Manage returns and notifications to SFC and HKMA

  • Advice on licensing matters on country level
  • o Handle business and business advisory compliance’s enquiries relating to licensing

    o Liaising with Regulatory Office on complicated licensing matters when dealing with SFC and HKMA

  • Implement controls and key reporting indicators
  • o Contribute to the permanent control framework

    o Conduct control testing to ascertain accuracy and completeness of the licensing records, and compliance with applicable licensing requirements

    o Prepare control testing and other related key indicator reports

    o Run the annual fit and proper declaration process

  • Manage the relationship with regulators
  • o Handle SFC and HKMA licensing related regulatory reporting (e.g. incident reporting)

    o Handle licensing related requests and queries from SFC and HKMA

  • Participate in the development of professional ethics tools in their parameter
  • o e.g. automated licensing and registration database and annual fit and proper declaration tool


    Conduct compliance training (e.g. PE refresher and CMPL induction for new joiners)

    Handle ad hoc projects, reports and other tasks as assigned

    Team leads are also expected to coach junior team members on their BAU works

    Technical and Behavioral Competencies required


  • Conversant with HKMA and SFC regulations
  • Good knowledge of compliance framework and financial products
  • Good verbal and written communication skills in English and Chinese
  • Good IT skills in MS Word, Excel and PowerPoint
  • Behavioral

  • Possess sense of ethics culture and literacy
  • Ability to work independently and to decline requests that contradict to the policies and principles
  • Attention to details and possess an investigative and questioning nature
  • Work well with people and under pressure
  • Qualifications and experience required


  • University graduate, preferred with a major in accounting, legal, finance, business administration or economics
  • Experience

  • 3 years of experience in licensing under banking sector
  • Prior experience in regulators is preferred
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