Assistant Manager, Due Diligence, Hong Kong
BNP Paribas
Hong Kong
8天前

BNP Paribas in Asia Pacific - https : / / careers.apac.bnpparibas

In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860.

Currently with over 17,000 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.

Position Purpose

Within BNP Paribas Hong Kong, the Due Diligence Team’s objectives is to be the sole interface for clients going through the KYC due diligence onboarding or recertification process.

The team supports the Corporate and Institutional Banking (CIB) business which encompasses diverse métiers and products.

The team i responsible for 3 main activities :

1. Prioritization of on-boarding with additional focus on Tier 1 potential clients

2. Coordination of the whole process (Risk, Legal, Systems) and production of the KYC (Collection, Confirmation, and most importantly, analysis)

3. This team are also responsible for recertification, annual review and relevant client management processes

Responsibilities

The responsibilities of this role will be diverse and varying, depending on work required to be actioned.

Direct Responsibilities

  • Handle assigned client recertification requests and ensure management initiative is satisfactorily implemented which includes, but not limited to, the enforcement of proactive pipeline management policies (to improve the throughput and completion cycle-
  • time of pipeline), completion of recertification pipeline in meeting the set of KPIs, and management directives. Key objective is aiming for ZERO Overdue for Recertification cases.

  • Major clients including Corporate Coverages, Commodity Finance, Investment Banking, Transaction Banking, Financial Institutional Coverages, Global Markets products e.
  • g. Equities, Fixed Income, Foreign Exchange, Commodities Index Trading (CIT), CIT Metals, CIT Repo, and Commodities Futures Trading .

  • Complete client recertification requests in accordance to relevant Standard Operating Procedure (SOP) which also makes reference to relevant policies including CIB KYC Procedure.
  • Act as the Subject Matter Expert (SME) with assigned Front-Office Business Unit(s) across Client Sector(s) and Product(s), Compliance and other support functions in relation to Due Diligence activities.
  • Those related recertification pipeline requests would often be more complex in nature, require for Enhanced Due Diligence (e.

    g. Sanctions, Sensitive Industries, Politically Exposed Persons, Adverse News, Very High Risk country exposure), and required approval by Client Acceptance Committee (CAC).

  • Work closely with Front-Office and prioritize the completion of recertification pipeline according to ever changing demands, and deliver satisfactory results.
  • Ensure timely escalation and own proposed course of actions to line management to address identified risks and blocking points during each client recertification handling.
  • Also, identify, analyze, report and explore proposed course of actions to line management in relation to production, policy and system issues.

  • Develop good understanding of the assigned Front-Office Business Unit(s) and process related working knowledge in order to support the Front-
  • Office Business Unit(s) effectively.

  • Interact effectively with senior internal stakeholders and regional / global teams in a variety of BNP Paribas locations in APAC and beyond.
  • Embrace continuous changes and challenges; handle various uprising initiatives and ad-hoc projects as assigned by line management for DDT.
  • Handle client recertification lifecycle management processes (e.g., account blocking, termination, client file transfer between Due Diligence teams).
  • Perform 4 eyes Checker role for those client recertification being prepared by Maker to complete the Due Diligence review process.
  • Assist Head of Recertification Due Diligence to coach and provide guidance to other new / junior team members.
  • Technical & Behavioral Competencies

    Technical

  • Proficient in Microsoft Word, Excel, Outlook and PowerPoint.
  • Behavioural

  • Well-developed interpersonal, problem-solving and influencing skills.
  • Able to lead, coach and advise new / junior team members.
  • Specific Qualifications (if required)

  • University graduate, preferably with at least 4 years relevant work experience.
  • Proven ability to manage multiple projects simultaneously.
  • Strong attention to detail with ability to produce accurate and quality work under tight deadlines and minimal supervision.
  • Solid understanding of Corporate & Institutional Banking and Global Markets framework under International Financial Groups.
  • Good understanding of Due Diligence and local Anti-Money Laundering requirements.
  • Working knowledge in relation to Corporate Banking products e.g. Cash / Deposit, Loan Syndication / Agency, Trade Finance, ECM / DCM, etc and / or Global Markets products e.
  • g. Equities, Fixed Income, Foreign Exchange, Commodities Index Trading (CIT), CIT Metals, CIT Repo, and Commodities Futures Trading .

  • Excellent written and spoken communication skills.
  • Fluent in English (spoken and written), and preferably Chinese (Cantonese / Mandarin).
  • Line management and staff coaching experience.
  • Candidates with strong potential but less than 4 years relevant work experience can be considered as Due Diligence Officer.

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