Compliance Officer

Position Purpose

BNP Paribas’ Compliance Officers provide reasonable assurance with respect to applicable laws and regulations within his or her perimeter.

The main purpose of this role is to support compliance control and compliance review. Also act as the PE correspondent for WM Taiwan.

Key Responsibilities

• He/she validates the policies to be adhered by the territory and controls that they are respected and implemented by achieving a twofold objective:

           – Independence of decisions; binding advice

          – Close partnership with the business to provide them strong second levels of control, guidance and advisory

• He/she is responsible for developing and maintaining a strong Compliance culture within his/her perimeter
• The Compliance officer works in close cooperation with other Compliance officers and business lines to ensure consistency of decisions and operating models

Compliance Officers are responsible for the following activities: 

• Provides reasonable assurance on the compliance of the operations / activities with applicable laws and regulations and escalates to his/her manager to ensures action plans are launched for perceived weaknesses
• Ensures consistency of the Compliance model and policy within his/her operational perimeter
• Supports the Compliance rules to be adapted / implemented in coordination with the Compliance Domains and the Business Lines
• Coordinates diffusion of policies and adaptation into operational procedures
• Supports the effective implementation of Compliance rules
• Supports the effective implementation of Compliance tools & systems
• Makes Compliance decisions on issues reported by local teams in his/her scope of responsibility, involving the Compliance Central Domains when relevant
• Exercises decision rights for category 1 level cases
• Supports appropriate governance to manage risk of non-compliance: leveraging Business Lines COs expertise, Leveraging Domains COs expertise
• Update self-assessment checklists of local regulations and monitor the results performed by WM
• Back up review of KYC files
• Participate actively in various projects and new tools set‐up process initiated by Compliance and business in related to WM Taiwan; enhancement and UAT for compliance tools 
• Ensure the completion and quality of routine Compliance tasks, such as impact analysis and distribution of daily official letters and regulations, sanction list management, WM staff licensing/ registration
• Ensure the implementation of Group Compliance policies and procedures related to WM and adapt them into local procedures where applicable
• Facilitate Compliance reporting requirements and deadlines
• Assist Compliance training 
• Implement Compliance controls, independent reviews and surveillance concerning WM Taiwan
• Act as Professional Ethics Correspondent for WM Taiwan

Key Interaction

• Representatives of Compliance Operational Perimeters and Domains
• Compliance Business Line representatives
• Business representatives
• Other Control functions

Competencies (Technical / Behavioral)

Technical skills

• General knowledge of applicable local regulatory framework and its evolutions
• Knowledge of Compliance issues and challenges specific to his/her territory 
• Knowledge of the Bank (processes, products, clients…)

Soft skills

• Integrity
• Accuracy
• Directing in a positive way (hold one’s positions in complex circumstances)
• Self-confidence 
• Ability to learn (curiosity)

Specific Qualifications (if required)

• University degree or above with major in Finance, Business, Accounting or Legal
• Minimum of 5 years’ experience in banks (Compliance or AML function) or CPA firms is preferred
• Fluent in Chinese and English (writing/speaking)    

About BNP PARIBAS

As the leading European Union bank, and one of the world’s largest financial institutions with an uninterrupted presence in the region since 1860, BNP Paribas offers a wide range of financial services for corporate, institutional and private investors spanning corporate and institutional banking, wealth management, asset management and insurance. 

We passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued and encourage applicants of all backgrounds, including diversity of origin, age, gender, sexual orientation, gender identity, religion applicants who may be living with a disability. We have a number of internal employee networks in place to empower our staff to act and challenge the status quo.

•    BNP Paribas PRIDE is highly active in favour of the LGBTQIA+ community

•    BNP Paribas MixCity which fosters better representation of women at all levels of the organization

•    Ability, the mutual aid network for employees with a disability or a disabling or chronic illness

•    BNP Paribas CulturAll which celebrates diverse backgrounds

BNP is committed to financing a carbon-neutral economy by 2050. The Group is a founding member of the Net-Zero Banking Alliance and has set up its own Low Carbon Transition Group to support its clients through their energy transitions.

https://careers.apac.bnpparibas/

More information 

BNP Paribas – Diversity & Inclusion Journey 

BNP Paribas – The Bank Of Green Changes 

Award Obtained

BNPP has won Top employer Europe award in a 10th consecutive year