Head of Transversal Sales Compliance Apac, Global

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 in the Regional Global Markets/ALMT Compliance Governance Model and a senior member of the regional Compliance team.

Support the Regional Head of Compliance, the Regional Head of Global Markets/ALMT Compliance, coordinate all Transversal Sales advisory-related activities and action plans closely with various dedicated Global Markets Compliance teams in the region.

Responsible for closely liaising with and keep regularly informed the relevant Global Markets business seniors, and country compliance heads in relation to Transversal Sales Compliance activities with particular focus on WMFO (Retail Structured Products), Cross-Asset Sales (CAS) and Strategic Equity.

Act as the GM Transversal Sales Compliance central point of co-ordination for various regional projects on Global Markets side. This position will also act as one of the main Compliance contact point for the implementation within Global Markets of local, regional, and global projects, reform initiatives in the area of sales in particular. He or she will spearhead regional 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 governing the bench marking activities and various remediation requirements for APAC Global Markets business.

**Key Responsibilities**

Specifically, in the GM (FI/ALMT) Compliance APAC team, he/she will:

- Be accountable for the GM APAC Transversal Sales Compliance program
- Complete risk assessments and coordinate resources to perform the 2LOD role for the perimeter - GM Transversal Sales Compliance.
- Work closely with the GM Transversal Compliance Office (TCO) team to deliver on key transversal projects to the benefit of the perimeter.
- Compliance lead for Retail Structured Products (WMFO), Cross-Asset Sales and Strategic Equity.
- Monitor the changes and development on relevant new laws, rules and regulations
- Liaise with local regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveys
- 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
- Participate in various local compliance projects in relation to Global Markets Compliance
- Review new business and product proposals or transactions; and approve in accordance with delegated authority
- Respond promptly to enquires on compliance related maters
- 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
- Periodic review, update and introduction of Compliance policy and procedures to ensure continuing relevance; and providing guidance, interpretation and direction to stakeholders.
- 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