Gm/alm-t Transversal Compliance Officer

What is this position about?

The Compliance function is at the heart of BNP Paribas’ risk management. One of the pillars of the Group’s internal control setup, Compliance teams work both independently and in close partnership with the Business to adapt to the evolution of the Group’s activities and the requirements of the regulators. Compliance teams contribute to maintaining the reputation of BNP Paribas and the trust of our clients, thanks to their strong control of non-compliance risks, allowing everyone to work with confidence.

Within Global Markets, ALM-T, 2S and FIC Compliance, the Transversal Compliance team is:

- Advise the different businesses or other Compliance teams on transversal matters such as digital solutions;
- Taking responsibility over the compliance framework of transversal matters (TAC/NAC process, regulatory reporting, etc.); and
- Contribute to the management of conduct issues and incidents.

The team has a regional (APAC) reach and is also responsible for contributing and/or coordinating the regulatory matters specific to HK (reg watch, surveys, inspections, etc.) for GM and ALM-T.

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

In this role, you will

At APAC level
- Take the lead of regulatory reporting projects from a GM/ALM-T Compliance perspective
- Advise and challenge the business on transversal matters (e.g., digital solutions)
- In coordination with APAC domains when relevant, monitor and support the implementation or the enhancement of transversal Compliance policies in the businesses in scope (e.g., voice recording, usage of mobiles devices, etc.). This can include:

- Leading consultations with the Compliance teams in APAC territories
- Advising the business on the requirements and challenging their implementation of such requirements
- With the support of APAC domains or central BL Compliance teams, providing clarifications on the policies
- Monitoring the implementation and escalating in case of delays or issues
- Work closely with central Business Compliance teams to ensure coherence and alignment of the Group’s framework across geographies, except for justified divergences
- With the support of APAC domains, contribute to the risk assessment exercise (RCSA) and ensure oversight over the control framework
- Contribute to the regional governance for the management of Compliance risks in the business lines in scope, including for conduct incidents

For HK
- In close coordination with HK Reg Office, manage the reg change process for GM & ALM-T
- Contribute and/or coordinate regulatory surveys, exams, enquiries, inspection, etc.
- Contribute to the management of incidents
- Contribute to the HK governance for the management of Compliance risks in GM & ALM-T (TCC, TICC, LRR, PCC, etc.)

Beside the core responsibilities listed above, the Compliance Officer may provide support to a particular desk or business line on pre-agreed business specific matters.

In 2025, this role will focus on the regulatory reporting framework.

For the avoidance of doubt, the transversal GM/ALM-T/2S/FIC Compliance team is not covering transversal sales or trading.

What is required for you to succeed?
- Expertise in GM regulatory reporting requirements
- Sound understanding of GM and ALM-T products and processes
- Sound knowledge of regulatory requirements in SG and/or HK
- Knowledge of risk and control framework of a financial institution
- Strong interpersonal skills, with the ability to communicate and consult clearly at all levels - business, management and other support functions
- Strong analytical and problem-solving skills
- Able to work independently adopting a hands-on approach, with good command of written and spoken English
- Ability to handle multi-tasking
- Willing to learn, hardworking and enthusiastic with team player mindset

Education & Experience:

- Undergraduate Degree with 5 years or more experience in the Compliance department of financial institutions, international brokers or regulators; with strong knowledge of global market products in APAC

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 backgrounds, including diversity of origin, age, gender, sexual orientation, gender identity, religion applicants who may be living with a disability. We have a number of internal employee networks in place to empower our staff to act and challenge the status quo.
- BNP Paribas PRIDE is highly active in favour of the LGBTQIA+ community
- BNP Paribas MixCity which fosters better representation of women at al