Compliance Officer - WM Compliance - Surveillance

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!

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.

Key Responsibilities
  • Responsible to review transaction alerts for any money laundering issue, collect comment from Relationship Manager as appropriate.
  • Conduct investigation, meeting with relevant staff and prepare report on cases with potential suspicious transactions.
  • To assist in project to enhance transaction monitoring systems and perform UAT.
  • To assist in coordination of regulatory inspection and investigation.
  • To ensure compliance with applicable laws and regulations. Keep abreast on new regulations and to update Management and staff on changes in regulations.
  • To identify and control compliance risks, implementing monitoring measures where required.
  • To advise Business and Functions on compliance and regulatory issues.
  • To support in implementing policies and procedures as a result of changes in Head Office directive or local laws and regulations and updating such rules and regulations relevant to Wealth Management.
  • To carry out the client acceptance and review process and to ensure that compliance especially with issues like money laundering, due diligence on clients, know-your client process, sanctions, transaction monitoring.
  • To assist in preparing relevant compliance reports pertaining to Wealth Management for submission to Head Office and ensuring the accomplishment of the Department's mission.


Competencies (Technical / Behavioural)
  • Familiar with Hong Kong laws and regulations.
  • Work well with people and under pressure.
  • A good knowledge of compliance framework.
  • Good communication skills with Front Office.
  • Need to work as a team.
Specific Qualifications Required
  • A graduate of a tertiary institution.
  • At least 3 years compliance experience in AML/wealth management.