Compliance Officer – GM TCO Compliance

September 18, 2023

Compliance Officer – GM TCO Compliance


  • Standard / Permanent
  • HK-Hong Kong (HK)-Hong Kong
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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 all levels of the organization
•    Ability, the mutual aid network for employees with a disability or a disabling or chronic illness
•    BNP Paribas CulturAll which celebrates diverse backgrounds

BNP is committed to financing a carbon-neutral economy by 2050. The Group is a founding member of the Net-Zero Banking Alliance and has set up its own Low Carbon Transition Group to support its clients through their energy transitions.

More information 
BNP Paribas – Diversity & Inclusion Journey
BNP Paribas – The Bank Of Green Changes

Award Obtained
BNPP has won Top employer Europe award in a 10th consecutive year

Department Overview

In an ever changing world with a continually shifting regulatory landscape, Compliance supports the CIB teams globally to deliver award winning products and services to their clients. Compliance sits at the heart of BNP Paribas’ internal control framework in the Second Line of Defence and is independent from the CIB businesses. 

Position Purpose
The successful candidate will be part of the Global Markets Transversal Compliance Office team based in Hong Kong. 

Act as a key subject matter expert advising on Equities, Fixed Income and other GM regulatory matters.  
Act as a central point of co-ordination for various regional projects and advisory-related activities in GM.
Key contacts include all relevant staff; business and functional leads and teams in APAC, within Global Markets business; and various regulatory authorities in APAC.

Key Responsibilities

  • Provide compliance advisory services to Global Markets front, middle and back office on regulatory and compliance issues
  • Observe and implement missions and responsibilities of BNPP Group Compliance functions 
  • Prioritize and execute the Global Markets and ALM Treasury Transversal Compliance program 
  • Advice business on relevant new laws, rules and regulations in APAC and other regions. Assist stakeholders in the interpretation of regulatory changes and their likely impact on the business 
  • Identify, manage and control compliance, regulatory and reputational risks 
  • Review new product/significant transaction proposals and provide comments
  • Conduct training on rules and regulations as well as promotion of compliance awareness and culture, where needed
  • Investigate potential compliance incidents or breaches in conjunction with various internal parties
  • Coordinate IG inspections with a focus on compliance/regulatory related issues
  • Liaise with regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveys
  • Assist rolling out or implementing global or regional policies and procedures for Global Markets business and ensure compliance thereof
  • Assist in the production of periodic MIS and KPIs as required. Communicate matters and issues to business when required
  • Collaborating with other team members to ensure seamless execution 
  • Escalate appropriately and timely issues to the APAC Head of Global Markets Transversal Compliance Office

Competencies (Technical / Behavioral)

  • Sound knowledge of regulatory and compliance requirements in both APAC and Global regions
  • Strong interpersonal skills, with the ability to communicate and consult clearly at all levels – business, management and other support functions
  • Knowledge of risk and control framework or procedure of a financial institution
  • 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

Specific Qualifications/Experience Required:

Education & Experience:

  • Undergraduate Degree with 8 years or more experience in the Compliance department of financial institutions, international brokers or regulators; with strong knowledge of global market products in APAC, preferably with advisory experience
  • The candidate should have a good understanding of the regulatory environment and the key challenges and developments which the business as well as the wider industry faces