BNP Paribas The BNP Paribas Group is a leader in banking and financial services, employing over 185,000 people across 75 countries and 5 continents. At BNP Paribas, we work continuously on behalf of our clients, helping them to realise their projects around the world. You can be an important part of this, helping us to serve our clients both in mature and emerging markets, providing them with financial solutions across a diverse range of expertise, products and services. Our origins lie in Europe but nearly a quarter of our employees now work in our multi-award-winning Asian offices and we are a committed player in all APAC markets.
In Asia Pacific, BNP Paribas has been present in the region for over 150 years and plans to grow its business from €2bl EUR to €3bl EUR by the end of 2016. With 9,000 employees in the region and a presence in 14 markets (with 3 main centres in Hong Kong, Singapore and Tokyo), BNP Paribas offers you the chance to grow with us in Asia Pacific.
In an ever changing world with a continually shifting regulatory landscape, Compliance supports the CIB and RB&S teams globally to deliver award winning products and services to their clients. Compliance sits at the heart of BNP Paribas' internal control framework and is independent from the CIB and RB&S businesses.
This role enables the candidate to join an established team enjoying strong relationships with business areas and support functions, and work in an experienced and professional environment to maintain a strong compliance culture within Global Markets Compliance in Hong Kong. Specifically, this candidate will be based on the trading floor in Hong Kong. The candidate would report to the Head of Equities Compliance, APAC, Global Markets.
Provide advice to front, middle and back office on regulatory and compliance issues, with specific focuses on Prime Solutions & Finance business and US agency execution matters
Advise business on relevant new laws, rules and regulations in the APAC and US regions
Work independently in various local compliance projects
Review of new product/significant transaction proposals and provide comments
Liaise with local regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveys
Perform compliance-related matters such as approving of marketing materials, system access, advice of licensing matters with the support of the licensing team, preparation of internal compliance reports with the assistance of a junior staff
Conduct training on new rules and regulations as well as promotion of compliance awareness and culture, where needed
Investigate potential compliance incidents or breaches in conjunction with various internal parties
Prepare and update local or regional compliance policies and procedures, where necessary
Work closely with the business and country compliance officers in the APAC region to advise on cross border activities or projects
Work closely with the US Equity Compliance team on any US agency execution matters
Assist rolling out or implementing global or regional policies and procedures
Competencies (Technical / Behavioral)
Strong knowledge of regulatory and compliance requirements in both APAC and US regions
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-tasks
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 products and/or capital market activities in both APAC and US regions, 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.