Senior Compliance Officer (Global Markets-Equities Focus) Senior Compliance Officer (Global Markets-Equities  …

BNP Paribas
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 04 Aug 20
Competitive
BNP Paribas
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 04 Aug 20
Competitive
BNP Paribas
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!
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 13 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 73 markets with more than 196,000 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 in an international business environment that is fast-paced, diverse and focuses on creating high-value relationships with our clients. We offer competitive salary and benefits, as well as a working environment where you're valued as part of the team.

* excluding partnerships

https://careers.apac.bnpparibas/

Department Overview

In an ever changing world with a continually shifting regulatory landscape, Compliance supports the CIB teams globally to deliver award winning products and services to their clients. Compliance sits at the heart of BNP Paribas' internal control framework in the Second Line of Defence and is independent from the CIB businesses.

Position Purpose

The successful candidate will be part of the GM Transversal Compliance team based in Hong Kong.

Act as a key subject matter expert advising on the Electronic Execution flow projects, China-related Equity trading (QFII/Stock Connect) and other GM regulatory matters. Act as a central point of co-ordination for various regional projects on GM.

Key contacts include all relevant staff; business and functional leads and teams in APAC Global Markets Department; and various regulatory authorities in APAC.

Key Responsibilities

• Prioritize and execute the Global Markets and ALM Treasury Transversal Compliance book of work
• Perform Coverage work, including but not limited to compliance advisory and compliance program
• Advise business on relevant new laws, rules and regulations
• Liaise with regulators and execute regulatory inquiries, audits, inspections, questionnaires and surveys
• Preferably possess knowledge on equity derivatives, prime brokerage, automated market making QFII, Stock Connect and China related regulations
• Perform analysis to assess the potential impacts on business processes and controls, and provide advices to 1LOD on gaps identified
• Execute remediation projects to mitigate issues identified in inspections and audits, operational and compliance incidents and breaches in conjunction with internal stakeholders
• Responsible for coordinating with other TCO staff to ensure seamless execution
• Escalate appropriately and timely Compliance issues to the APAC Head of Transversal Compliance Office
• Handle potential compliance issues or breaches in conjunction with various internal parties, where necessary
• Represent compliance on business projects
• Communicate matters and issues to business when required. Assist in production of periodic MIS and KPRIs as directed
• Responsible for identifying opportunities for efficiencies and/or renunciation
• Ad-hoc requests and general administrative support to the APAC Head of Transversal Compliance Office

Competencies (Technical / Behavioral)

• Solid understanding of electronic trading, algos, swaps DMA, short selling/aggregation units and the associated rules and regulations across APAC.
• 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-tasking

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/prime products in APAC, 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.

Company Overview

BNP Paribas established its presence in Singapore in 1968. We offer products and services in Corporate and Institutional Banking (Advisory and Capital Markets, and Financing Solutions), Wealth Management, Asset Management and Securities Services. Our clients include large multinationals, local and regional corporations, Financial Institutions and High net worth individuals.

BNP Paribas Singapore has more than 2,200 employees and is the Group’s hub for Southeast Asia, where it has core banking licences in all five Southeast Asian markets in which it operates – Indonesia, Malaysia, Singapore, Thailand and Vietnam.

To find out more about BNP Paribas in Asia Pacific, click here

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