Front Office Conduct Surveillance Officer
BNP Paribas
Hong Kong

BNPP Global Markets is seeking to enhance the controls performed at the first line of control for its FXLM business in APAC, especially in terms of electronic communications and trade monitoring.

contribution to the Conduct Surveillance operational strategy in APAC (definition of search areas and criteria in the light of the risk intensity, continuous improvement of tools and processes, optimization of Lexicon and search methods, pattern recognition, )

System design & implementation

define the system specifications and requirements and develop trade surveillance and electronic communications tools

Test and deploy of relevant controls for APAC FOCS team


Big data collection & processing

Clean-up of output (excluding obvious false positive alerts)

Investigation of possible true alerts

Ensure timely escalation of true alerts to the team manager for further review


Assertive, agile, willing to learn and adapt to different situations

Have the drive to improve processes and proposed solutions

Good organization skills and communication skills which is required to clearly articulate any surveillance / monitoring tools enhancement requirements when needed

Experience in project management

Knowledgeable in IT infrastructures and data mining processes.

Ability to manage repetitive tasks which could be tedious

Understanding of financial markets products (FXLM, G10 Rates, Credit or Equity Derivatives)

Understanding of Conduct risk and market misconduct concepts

Knowledge of Bloomberg Vault, Excel macros and trading systems

5-6 years of experience in the Front Office (Sales / Trading), Middle Office, or related Control, Audit, Compliance background relating to GM trading activities

HK-Hong Kong (HK)-Hong Kong Standard / Permanent COMPLIANCE AND PERMANENT CONTROL Education Level Bachelor Degree or equivalent (3 years) Experience Level

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