Compliance Officer, Global Markets

In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 18,000 employees* and a presence in 13 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 68 markets with more than 193,000 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.
- excluding partnerships

At BNP Paribas, we passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued, respected and can bring their authentic selves to work. We prohibit Discrimination and Harassment of any kind and our policies promote equal employment opportunity for all employees and applicants, irrespective of, but not limited to their gender, gender identity, sex, sexual orientation, ethnicity, race, colour, national origin, age, religion, social status, mental or physical disabilities, veteran status etc. As a global Bank, we truly believe that inclusion and diversity of our teams is key to our success in serving our clients and the communities we operate in.

**Position Purpose**:
This is a key role and a member of the Singapore Global Markets/ALMT Compliance Team.

Support the Head of APAC Global Macro, ALMT and SEA Global Markets Compliance mainly to act as the lead on Asset Liability Management and Treasury (ALMT) Compliance matters for APAC and take a lead on certain Global Markets topics/ business lines within the Singapore/SEA portfolio.

Responsible for closely liaising with teams located in various APAC jurisdictions and keep regularly informed the relevant ALMT business seniors and Paris Compliance in relation to regulatory matters.

This position will also be part of the APAC GM/ALMT Transversal Compliance Office (TCO) team. The incumbent will also act as one of the main Compliance contact point for the ALMT business in APAC and ALMT Paris Compliance. He or she will be involved in rolling out training initiatives aimed at maintaining consistently high levels of front office proficiency in relevant rules and regulations, codes of conduct, and particularly the laws and regulations affecting the ALMT and GM businesses.

This role will be located in Singapore.

**Key Responsibilities**

Specifically, the he/she will:

- Assist in advising the ALMT and GM businesses on compliance and regulatory issues.
- Interface with regulatory compliance and business functions on new and upcoming regulatory changes and interpretation of regulations.
- Handle regulatory inquiries, audits, inspections, questionnaires and surveys
- Be accountable for the Compliance program for his/her coverage scope.
- Complete risk assessments and coordinate resources to perform the 2LOD role for the perimeter.
- To lead some TCO project and work closely with the other TCO team members to deliver on key transversal projects to the benefit of the perimeter.
- Handle local compliance issues, incident, and breaches in conjunction with various internal parties, where necessary, and prepare various MIS and incident reports
- Prepare and update local compliance policies and procedures; and providing guidance, interpretation and direction to stakeholders
- Review new business and product proposals or transactions; and approve in accordance with delegated authority
- Assist in the management of its compliance program, such as review of marketing documents, conflicts identification and mitigations, assist in compliance desk reviews, follow through of trade surveillance alerts
- Assist stakeholders and compliance team to keep abreast of regulatory developments and in the interpretation of regulatory changes and their likely impact on the business and its processes, procedures, controls and products (gap analysis)
- Assist in the production of periodic MIS and KRIs/KPIs as required
- Assist in the organization, administration and provision of compliance training for new employees and as well as on-going training for all employees
- Ad hoc requests such as participation in specific projects, as directed from time to time by the Head of GM and ALMT Compliance APAC

**Competencies (Technical / Behavioral)**

The incumbent should have good knowledge of the Singapore laws and regulations (e.g. SFA, FAA, MAS notices, etc