Senior Compliance Officer, Global Markets

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!

About BNP Paribas in Asia Pacific ( www.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 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

Department Overview

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.

Position Purpose

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.

Key Responsibilities
  • Providing day-to-day compliance advisory services to the Hong Kong / APAC Equities business regarding the Firm's policy, relevant regulatory requirements, and industry best practice. Role focuses on Prime Services platform, which includes Delta1, execution, funding, SBL, F&O and clearing.
  • Advising business personnel on latest regulatory development, new rules and regulations which affect their business. Where necessary, establishing and updating existing compliance policies and procedures;
  • Review new business/project initiatives
  • Working with the global / regional Equities compliance teams to enhance standards of conducts and sharing updates on regulatory changes;
  • Identifying any compliance risks and investigating actual or potential breach of relevant rules and regulations relating to Equities business.
  • Dealing with ad hoc compliance issues and providing support to both front office and back office staff;
  • Conducting compliance training for business personnel;
  • Handling regulatory inquiries, examinations and audits.
  • Working closely with disclosure of interest and trade surveillance teams to review and conduct investigations when necessary
  • Conducing compliance reviews; and
  • Participating in related industry practice groups


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
  • College Degree minimum. LLB, MBA, CPA, CFA, or equivalent is preferred but not a must
  • Over 8 years direct experience in regulatory or Equities/PB compliance with broad knowledge of listed and OTC equities products, including cash equities, equity derivatives (plain vanilla and exotic), futures and options, etc
  • Knowledge on the disclosure of interests (DOI) requirements in Hong Kong and preferably in other APAC countries;
  • Preference will be given to candidate with Equities compliance experience based on trading floor in dealing with Equities sales, trading and capital market professionals and in advising such persons on real-time trading questions and scenarios
  • Strong preference will be given to candidate with good knowledge of regulatory requirements in Hong Kong and familiar with APAC restricted markets restricted market requirements, e.g. India, Korea and Taiwan
  • Excellent negotiating, language and inter-personal skills; should be a proactive, solutions driven, confident, highly motivated and organized team player with impeccable integrity; should possess excellent issue spotting, analytical and resolution of conflicts skills
  • Able to act decisively and independently in situations requiring quick analysis ​​