Compliance Specialist

1 day ago

Singapore BNP Paribas Asset Management Full time

Become a key player in ensuring the compliance of BNP Paribas Asset Management's Singapore business with local regulatory requirements and global standards.

Job Description:

This role is responsible for directing and controlling compliance activities to ensure adherence to applicable laws, regulations, and BNPPAM policies. The Compliance Specialist will represent the Compliance function in local management committees and work closely with local management to establish an appropriate compliance culture.

  • Ensure that the local business operates in conformity with all applicable laws and regulations, as well as BNPPAM and BNPP Group policies and procedures.
  • Advise local management on compliance matters affecting the BNPPAM businesses in Singapore, taking into account regulatory changes and developments.
  • Represent the Compliance function in local management team discussions and meetings/committees, ensuring that material compliance matters are flagged to and discussed at the appropriate level within the organisation.
  • Manage (in collaboration with Territory Compliance) the relationship with local regulatory bodies and auditors.
  • Ensure all BNPPAM and BNPP Group compliance policies are communicated to the business and implemented in the BNPPAM Singapore business.
  • Ensure a robust compliance monitoring program is in place and carried out locally, aligned with the Global AM compliance control plan and other monitoring standards.
  • Ensure claims and complaints are properly dealt with in accordance with local requirements and BNPPAM global policy standards, escalating to line and functional management where necessary.
  • Provide training and awareness sessions to staff members to ensure their awareness of relevant regulations, BNPPAM and BNPP Group compliance obligations, policies and required actions.
  • Financial Security: Provide compliance opinion/risk assessment on KYC files and PEP/Sanctions alerts requiring an intervention, perform a second level control per the FS Control plan, to assess and report on the adequacy of the local Financial Security framework.
  • Act as Whistleblowing referent and ensure implementation of Whistleblowing Framework locally.
  • Act as ABC correspondent for compliance and ensure contribution to ABC matters rolled out by the Group.
Key Responsibilities:
  • Internal: Local CEO, Global & Regional Heads for Compliance, Head- Compliance Malaysia (line manager), Legal, Investment Risk, Operational Risk & Control, Operations / Middle- Offices, Service Providers, Internal Auditors.
  • External: Local regulatory bodies, External Auditors, Industry Associations.
Salary:

The estimated salary for this position is between SGD 120,000 - 180,000 per annum, depending on experience.

Requirements:
  • University graduate in law, accounting or other relevant disciplines;
  • Auditing and regulatory experiences desirable, but not essential;
  • Minimum of 6-8 years of compliance experience in the local market, preferably with an international asset management company.
Essential Skills:
  • In-depth knowledge of asset management business;
  • Compliance expertise - monitoring, investigation and reporting;
  • Commercially minded;
  • Strong communication, and interpersonal skills;
  • Strong influencing skills;
  • A good team player;
  • Independent.

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