Regulator Compliance Officer – Securities

Position Purpose

As the AML officer and Compliance team member that applies risk-based audit coverage of key control risks arising within Securities and futures business and working with business to ensure comply with regulatory requirements as well as internal policies. 

Key Responsibilities

Direct Responsibilities

• Performing internal compliance monitoring, local required reporting, and professional registration (i.e. professional ethic monitoring, regular Compliance filing, etc.)
• Monitor mandatory professional training and follow-up. 
• In charge of local regulation dissemination when relevant and communicate to the relevant parties.
• Advise on FS, AML, and KYC topics escalated by Business after discussing with line manager.
• Escalate most sensitive transactions, new activities / products, incidents & investigations to GFS after discussing with line manager.
• Support Business in assessment of financial security risk.
• Adapt policies (if needed) and roll-out GFS policies and processes at the Operational Perimeter (“OP”) level.
• Ensure Business translates FS policies into operational procedures.
• Adapt control plans (if needed) and oversee level 2 controls and deployment of key reporting indicators.
• Organize regulatory watch on FS, AML, and KYC topics and ensure sharing of major topics with relevant stakeholders.
• Adapt (if needed) and coordinate the deployment of FS Community Animation plans (trainings, seminars…) within the OP.
• Carry out FS, AML, and KYC duties as required by Group Compliance.

Contributing Responsibilities

• Assisting in regional Compliance control plan execution and internal control assessment result filing.
• Assisting in Compliance-owned regulatory reporting.
• Supporting ad-hoc request which Compliance or management deems necessary as job assignments.
• Supporting business project relevant to Compliance matters including FS/KYC, MI, PE, PIC, ABC, etc.
• Acting as deputy when Compliance manager is on leave.

Competencies (Technical / Behavioral)

Technical skills

• General knowledge of applicable regulatory framework and its evolutions
• Knowledge of Compliance issues and challenges specific to his/her environment (Business Lines, Countries, Regions)
• General Auditing and communication skill
• Legal culture and literacy

Soft skills

• Integrity
• Accuracy
• Directing in a positive way
• Self-confidence
• Ability to learn (curiosity)
• Client focus
• Vision
• Decision-making skills
• Impact
• Acting with perspective
• Developing others

Specific Qualifications Required

• University graduate with major in Business Administration, Legal, Finance or Accounting.
• At least 5 years of banking and/or regulatory experience
• Securities and Futures license 
• Good command of English 

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