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
  • Provide advice to front, middle and back office on regulatory and compliance issues, with specific focuses on Prime Solutions & Finance business and US agency execution matters
  • Advise business on relevant new laws, rules and regulations in the APAC and US regions
  • Work independently in various local compliance projects
  • Review of new product/significant transaction proposals and provide comments
  • Liaise with local regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveys
  • Perform compliance-related matters such as approving of marketing materials, system access, advice of licensing matters with the support of the licensing team, preparation of internal compliance reports with the assistance of a junior staff
  • Conduct training on new rules and regulations as well as promotion of compliance awareness and culture, where needed
  • Investigate potential compliance incidents or breaches in conjunction with various internal parties
  • Prepare and update local or regional compliance policies and procedures, where necessary
  • Work closely with the business and country compliance officers in the APAC region to advise on cross border activities or projects
  • Work closely with the US Equity Compliance team on any US agency execution matters
  • Assist rolling out or implementing global or regional policies and procedures


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

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 products and/or capital market activities in both APAC and US regions, 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.