Compliance Manager, Wm Misro Apac

What is this position about?

The Market Integrity (MI) Domain and Practices APAC has various operating units, namely, Monitoring and Surveillance (CMS), Control Room, MI Framework and GBFR. The teams are located across different APAC countries with hubs in Singapore, Hong Kong and Japan with India and Lisbon supporting as outsourced units for various monitoring and surveillance functions.

MI APAC Monitoring and Surveillance (M&S) teams in Singapore, Hong Kong and Japan perform monitoring and surveillance function on CIB (Global Markets, ALMT, Global Banking, FIC and 2S (Securities Services)) and on Wealth Management (WM) business within APAC.

What would be your typical day at BNPP Paribas look like?

The Compliance WM Manager in M&S- will be responsible for the WM Monitoring and Surveillance across APAC in coordination with the Head, MI APAC CMS.

This Compliance Manager might be appointed as WM MISRO (Market Integrity Surveillance Responsible Office) either upfront or after some time depending on his/her experience.

This position reports to Head, MI APAC CMS.

**Responsibilities**:

- As WM Compliance Manager co-manages the staff from CIB Trade surveillance team covering partially WM activities.
- Conduct trade and communication surveillance for Wealth Management metier to detect potential regulatory violations, identify suspicious activity and items requiring corrective action
- Be the main point of contact with Central and Regional teams of all matters related to WM Monitoring and Surveillance.
- Analyze transaction activity detected, document findings, provide written explanations to the transaction detail, and conduct investigations into any issue that may arise during the course of analysis
- Interact with Front Office Sales, dealers, Supervisors and Compliance Advisory staff so that an appropriate resolution may be achieved and communicate issues in a proactive manner
- Interact with local Compliance for all countries where WM activities are taking place in APAC.
- Build and maintain local procedures and SOPs (when needed) to comply to the local and global requirements.
- Raise matters of importance to Departmental Management for discussion, participate in Team meetings, conduct investigations into potentially violation and/or suspicious activity
- Escalate potentially serious issues and exception items noted during the review process to Management for discussion and further investigation if deemed necessary
- Assist with the development of new surveillances to cover new risk priorities
- Work on regional surveillance projects including system UAT, new models discussion, or system development
- Conduct or assist with ad-hoc investigations
- Ability to work on a rather independent basis.
- Assist with IG/Internal Audit and ad hoc regulatory requests
- Operationalize implementation plans and undertakings made to various regulators

If/when appointed MISRO WM APAC, be:

- Accountable for compliance as second line of Defence in the market abuse prevention and detection framework related to arranging and executing market transactions, in coordination with MIC APAC or MIROs
- Responsible for Managing Surveillance Activity under his scope in accordance with MI Domain Policy and Guidelines.
- Responsible for identifying Suspicious Transactions or Orders and following or leading the process until a STOR is submitted to regulator when deemed needed (together with the Policies & Advisory MI APAC team)
- Responsible for implementing Market Integrity initiatives & projects related to Market Abuse surveillance on his scope and with coordination with other involved stakeholders (i.e. MIC, MIRO, CMS MISRO APAC )

What is required for you to succeed?
- University graduate with major in Accounting, Business Administration, Economics, Finance or Law or equivalent qualification
- At least 10 years audit or compliance experience.
- Knowledge of WM activities and/or experience in Monitoring and Surveillance.
- Demonstrate capacity for sound project management, analytical and problem-solving skills with the ability to exercise sound and balanced judgment.
- Demonstrate strong interpersonal skills with the ability to communicate and consult at all levels.
- Committed to confidentiality, integrity and objectivity
- Proactive in identifying risks and proposing solutions
- Ability to handle multiple tasks simultaneously and work under tight deadlines
- Ability to work on a rather independent basis.

**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 backgroun