What is this position about?
As part of the APAC CIB Conduct team, the Conduct Officer will lead the project to harmonize the Conduct setups across APAC business lines and functions and provide assistance to the CCCOs in the Region for Conduct related topics.
What would be your typical day at BNPP Paribas look like?
Primary Role Responsibilities
Define and roll-out the Conduct harmonization program for APAC business lines and functions across 5 key pillars: (i) Governance, (ii) Risk Assessment, (iii) Control Framework, (iv) Metrics, (v) Cultural Change:
• Governance: support the implementation when relevant and contribute to the key Conduct governance forums (e.g. Conduct & Ethics Boards, Conduct Behaviour Forums, Conduct Escalation Committee etc.) for the APAC BLs/Functions in close coordination with Global teams.
• Risk Assessment: accompany the Business Lines (BL) towards a more granular Conduct Risk Assessment (from Level 3 to Level 4 risks) when relevant. Starting with GM-GCM JVs, identify potential inconsistencies between L4 RCSA, procedures, controls and training programs.
• Control Framework: accompany the BL to design and deploy new controls to mitigate Conduct risks or enhancements of existing controls where needed
• Metrics: ensure the relevant Key Performance Indicators (KPIs) and access rights are included in the Individual Conduct and Control Evaluation Dashboard (ICCE) for APAC in coordination with the control owners.
• Cultural Change: support the implementation in the Region of main Conduct trainings (Manager Conduct Training, Dilemma campaign) and foster the inclusion of APAC BLs/Functions specificities in close coordination with the Business Lines CCCO. Extend the New Joiner Conduct Journey beyond GM.
• Communication: in coordination with Conduct Global Team and Regional CCCOs, propose and support the dissemination of relevant and impactful communication related to key Conduct topics to APAC staff.
Other contributions
• Act as Conduct Subject Matter Expert (SME) for non-GM Business Line.
• Provide assistance upon CCCO request related to Conduct investigation for non-GM staff in coordination with Front Office Conduct & Surveillance team (FOCS) and BL CCCO.
What is required for you to succeed?
• Minimum of 7-10 years of project/business management experience relating to Front Office (Sales/Trading) projects and/or risk management functions (e.g. Compliance, Risk, Internal Audit)
• Experience related to the Conduct Remediation Program is a plus
• Demonstrate versatility and agility, strong negotiation skills and people management skills
• Strong project management skills and proven experience/records
• Adequate change mindset and able to translate business requirements into structured yet pragmatic action plans
• Ability to work independently and manage global stakeholders
• Ability to multi-task and manage multiple projects at the same time
• Familiar with BNPP CIB Business Lines organization and environment
• Understanding of Conduct risks and market misconduct concepts
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 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.
https://careers.apac.bnpparibas/
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
What is this position about?
• Applies ICC UCP rules and practices, conduct shipping document checking against Letter of Credit terms and conditions
• Follow the Bank’s procedures, handle transaction data within application systems
• Follow the Bank’s guidelines, conduct relevant Compliance checking on transaction data
What would be your typical day at BNPP Paribas look like?
Primary Role Responsibilities
• Follow ICC rules and practices to complete document checking process.
• To process data input to application systems after document checking.
• To complete vigilance/compliance screening on export and import documents
• To prepare Refusal Advice to Presenting / Negotiation bank for Import Documents
• To execute the duty of ‘B’ level controller to validate/authorize the daily operations on documentary checking operations
• To clarify / conclude with clients through Middle office for discrepancies / irregularities / ambiguous conditions on the documents.
• To coordinate with Middle office and/or per their instructions in handling export and import transactions.
• To monitor the workflow and procedures to be running in proper paths enabling the Quality Target could be achieved.
• To review irregular and problematic transactions and to provide guidance to the staff members to take appropriate follow-up actions.
• To provide on job training to staff members
• Any other activities relating to trade operation processing as assigned by Management.
• Bring Direct contribution to BNPP operational permanent control framework
• Minimize operational failure, including but not exclusively the risk of fraud by helping to devise and by implementing sufficient regular controls
• Ensure appropriate escalation to management and/or permanent control (or compliance as appropriate) as soon as an issue is identified.
• Comply with internal and external regulatory and compliance requirements
• Comply with the BNPP standards of Code of Conduct
• Comply with the BNPP IT Security policies
• Responsible for reporting all incidents according to the Incident Management System
• Anti‐Money Laundering / Financial Sanctions “AML/FS”) related duties: Operations are an integral part of the control framework including for AML/FS topics. In that respect, in performing your role you are expected to ensure adherence to AML/FS‐related Group Policies and execution of associated operational controls, and to promptly escalate any resulting hit for analysis and decision.
Other contributions
• Share knowledge and experience with colleagues in team to build up team spirit
• Contribute and support businesses in product delivery with professional comments.
• Contribute to resolve and identify blocking matters
• Coach / assist team members in achieving the objective
• able to help Unit Head to run the Unit smoothly
• Team spirit that contribute to the Team’s success
What is required for you to succeed?
• With already 3 to 5 years relevant L/C shipping documents checking experience
• University graduate
• Good knowledge to UCP Rules / Practices
• CDCS qualifications
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 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.
https://careers.apac.bnpparibas/
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
What is this position about?
- To assist the APAC Head of TPRM (Third-Party Risk Management) on leading the On-Boarding & Off-Boarding stream of the Third-Party lifecycle.
What would be your typical day at BNPP Paribas look like?
Primary Role Responsibilities
- Ensuring BAU (Business As Usual) framework for On-boarding & Off-Boarding for Outsourcing is compliant with Group & Local requirement
- SME (subject matter expert) in providing guidance & support to business/function on their on-boarding & off-boarding initiatives
- Partnering with Local Outsourcing Coordinators (LOCs) & Project Managers to mitigate issues/risks identified in their on-boarding & off-boarding initiatives
- Evolving and streamlining the BAU (Business As Usual) process via automation & aligning with CIB TPRM Central practices
- Data quality of the initial registration of outsourcing in the corporate system (Risk360)
- Remediation lead for Audit/Regulatory inspection for On-boarding & Off-Boarding
- Contribute to the preparation of Third Party SteerCo/or Regional Internal Control Committee
- Build strong working partnership with stream leads within APAC TPRM (Oversight, Transformation & Permanent Control), APAC LOCs (Local Outsourcing Coordinator) & CIB TPRM Central team
What is required for you to succeed?
Technical Competencies required
- Sound project management skills
- Change Management
- Technical expertise in Microsoft (Power BI, SharePoint, Excel Macro, PowerPoint, etc) & basic understanding of SQL
- Third-Party lifecycle process
- Excellent communication verbally & written in English.
Behavioural Competencies required
- Delivery focus
- Self-starter
- Problem solving
- Innovative
- Well-structured with good organizational skills;
- Data analysis
- Team player/building relationships
- Good communication facilitator;
Required education/certification/licenses
- Bachelor or Master Degree
- 3-5+ years minimum of experience in outsourcing management or third party risk management or control function, preferably in financial institutions or consulting firms
- Risk Management / Internal Controls / TPRM related accreditation would be desirable
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 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.
https://careers.apac.bnpparibas/
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
Business Overview:
ALM Treasury is a Transversal Activity within BNP Paribas Group. ALM Treasury has three operational responsibilities and two prudential mandates. The three operational responsibilities are the management of the Group’s liquidity position, the management of the interest rate risk in the banking book (IRRBB) and the management of the foreign exchange risks. The prudential mandates refer to the liquidity risks linked to the Group’s profile and geographical presence, for which ALM Treasury exercises a responsibility similar to a Group function. ALM Treasury’s mandates consist in assessing the liquidity risks of the Group and protecting the Group’s signature.
ALM Treasury APAC overviews 12 Territories (Hong-Kong, Japan, Australia, Singapore, Taiwan, South Korea, China, Thailand, Vietnam, Malaysia, Indonesia, India)
Candidate Success Factors:
- Results and Impact
- Able to influence peers and team
- Demonstrates good judgement when making decisions
- Exercise appropriate autonomy in the execution and delivery of work
- Responsible for driving outcomes
- Leadership and Collaboration:
- Able to build relationships with a mix of colleagues and various bank’s departments
- Acts in leadership capacity for projects, processes, or programs
- Compliance Culture and Conduct:
- Takes full responsibility for personal actions and demonstrates courage in facing problems and conflicts
- Perceived as a person of high moral character; upholds corporate values and displays high ethical standards
Responsibilities:
- Design, propose and maintain tactical solutions for the production of various ALM Treasury risk metrics for all APAC entities – as per Group guidelines and local regulation/policies
- Fully document all the processes and tools used by the team
- Further analyze the various metrics and share the conclusions with local ALMT and local ALCO.
- In collaboration with various stakeholders (RISK, Finance, …), contribute to various projects and impact studies on local regulatory reporting
- In collaboration with Local ALMT in each APAC entity, contribute to answer requests from local supervisors pertaining to ALM Treasury risks
- Ensure compliance with both ALM Treasury policies, guidelines and standards and local regulatory requirements
- Support ALM Treasury Head Office in its initiatives related to liquidity and IRRBB/FXRBB regulations or supervision
Qualifications:
- 3 to 5 years’ experience in financial services
Previous experience within ALM Treasury would be a plus
- Fluent in English
- Ability to work with large and complex set of data from various data sources, with a strong interest on data analysis improvement and automationKnowledge of any platform such as PowerBi, Alteryx, Python and pandas, SQL etc. would be a plus
- A creative mind to propose and design effective and efficient solutions
- Excellent verbal and written communication skills
- Ability to work well with others in an evolving environment
About BNP Paribas in Asia Pacific (www.apac.bnpparibas)
In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 15,000 employees* and a presence in 14 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 74 countries with more than 190,000 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.
BNP Paribas offers you an exciting career opportunity in an international, challenging business environment characterized by high pace and diversity with focus on creating valuable relations with our customers. We offer a competitive salary & benefits package and also an excellent work environment where you’re valued as part of our team!
Position Purpose
-
Identify, originate, develop and maintain Wealth Management client relationships for clients on an advisory basis
-
Manage existing and new client relationships in a thoroughly professional manner with the full support management and in line with the professional ethics and guidelines established by BNP Paribas (” the Bank”) from time to time
Key Responsibilities
-
Meet annual goals / budgets set by manager for self
-
Develop existing and new relationships
-
Adhere to client coverage framework to involve line management in regular client engagement
-
Execute pricing discipline as per minimum pricing guidelines
-
Market a full range of Wealth Management products and services in a diversified manner to existing and new clients
-
Maintain communications with clients to assess their needs and risk profile, advise on appropriate investment mix
-
Cultivate and manage relationships with other areas of BNP Paribas to ensure to promote cross selling
-
Ensure product documentation including credit facilities is at all times correct and appropriate
-
Maintain good level of knowledge of the Bank’s systems and regulatory environment
Financial Security
Ensure compliance with Bank’s policies/procedures and regulatory requirements, in particular with regards to the KYC responsibilities and duties, as per relevant policies and procedures, and the summary of responsibilities list below:
The RM, when acting as SBO/SCBO:
- must initiate the KYC on boarding process and is responsible to collect the KYC data (with support of the appropriate teams in charge of due diligence)
- is primarily responsible for ensuring that customer due diligence has been completed to a satisfactory standard, and is kept up-to-date;
- makes an assessment whether starting a new relationship or maintaining an existing relationship with a customer is appropriate, in respect of the reputation and the money laundering/terrorist financing/sanctions risks, irrespective of the possible type of business the customer is currently doing or intends to do with the bank. This assessment must be formalized in writing in the KYC package (qualitative SBO opinion describing the risks and their mitigants is mandatory in all cases);
-
uses the KYC scoring grid and his/her judgment to determine the sensitivity, assisted by the teams in charge of due diligence. He/she provides the teams in charge of due diligence with the knowledge/details they need when contacts with customers is required;
-
submits the customer’s KYC file to the CAC (Customer Acceptance Committee), as may be required, and provides the CAC with all information and documentation it may require;
-
contributes to assess the relevance and appropriateness of offering and/or maintaining certain products and services of the Bank in view of the risk profile of the customer;
-
contributes to the detection of any unusual and/or suspicious transactions by his/her customer with due reporting to a Compliance Officer;
-
and employs his/her best efforts to maintain a thorough knowledge of his/her customer from available documentary sources and regular direct contacts with them;
-
finally, he/she must keep the KYC up-to date in accordance with the Bank’s standards. In particular, he/she must trigger an ad-hoc review as soon as necessary, notably in case of becoming aware of any material adverse information in connection with any of their customers in the field of AML-CTF, in accordance with the relevant KYC policies and procedures.
Control Aspect
- Direct contribution to BNPP operational permanent control framework
- Responsible for the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan
- Comply with regulatory requirements and internal guidelines
- Responsible for ensuring team members comply with regulatory requirements and internal guidelines
- Responsible for reporting all incidents according to the Incident Management System
Essential Technical Knowledge/Skills
- Previous private banking experience is a must
- Client-focused with excellent interpersonal and communication skills
- Ability to discuss and have the knowledge of the full range of PBA products
- Ability to expand client network
- Familiar with procedures and documentation requirements
- A team player with good initiative and team spirit
- Good PC and English writing skills
Qualifications and Experience :
- University degree
- At least 7 years private banking experience including credit and marketing
- Must fulfil the fit and proper criteria for SFC & HKMA
Competencies :
- Familiar with activities in world’s bourses (foreign exchange market activities, stock exchange market activities)
In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 15,000 employees* and a presence in 14 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 74 countries with more than 190,000 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.
BNP Paribas offers you an exciting career opportunity in an international, challenging business environment characterized by high pace and diversity with focus on creating valuable relations with our customers. We offer a competitive salary & benefits package and also an excellent work environment where you’re valued as part of our team!
Position Purpose
-
Contribute and responsible for the team performance, achieving efficiency, risk control and promoting team spirit and professionalism
-
Identify, originate, develop and maintain Wealth Management client relationships for clients on an advisory basis
-
Manage existing and new client relationships in a thoroughly professional manner with the full support management and in line with the professional ethics and guidelines established by BNP Paribas (“the Bank”) from time to time
Key Responsibilities
-
Meet annual goals / budgets set by manager for the team and self (if applicable)
-
Develop existing and new relationships
-
Adhere to client coverage framework. Know all clients in the team, as well as to engage all their clients on a regular basis
-
Execute pricing discipline as per minimum pricing guidelines
-
Market a full range of Wealth Management products and services in a diversified manner to existing and new clients
-
Maintain communications with clients to assess their needs and risk profile, advise on appropriate investment mix
-
Cultivate and manage relationships with other areas of the Bank to promote cross-selling
-
Ensure product documentation including credit facilities is at all times correct and appropriate
-
Maintain good level of knowledge of the Bank’s systems and regulatory environment
-
Contribute to the definition and implementation of WM Asia’s strategies and goals
-
Contribute to the recruitment, performance management and career development of the team
Financial Security
Ensure compliance with Bank’s policies/procedures and regulatory requirements, in particular with regards to the KYC responsibilities and duties, as per relevant policies and procedures, and the summary of responsibilities list below:
The RM, when acting as SBO/SCBO:
-
must initiate the KYC on boarding process and is responsible to collect the KYC data (with support of the appropriate teams in charge of due diligence);
-
makes an assessment whether starting a new relationship or maintaining an existing relationship with a customer is appropriate, in respect of the reputation and the money laundering/terrorist financing/sanctions risks, irrespective of the possible type of business the customer is currently doing or intends to do with the bank. This assessment must be formalized in writing in the KYC package (qualitative SBO opinion describing the risks and their mitigants is mandatory in all cases);
-
uses the KYC scoring grid and his/her judgment to determine the sensitivity, assisted by the teams in charge of due diligence. He/she provides the teams in charge of due diligence with the knowledge/details they need when contacts with customers is required;
-
submits the customer’s KYC file to the CAC (Customer Acceptance Committee), as may be required, and provides the CAC with all information and documentation it may require;
-
contributes to assess the relevance and appropriateness of offering and/or maintaining certain products and services of the Bank in view of the risk profile of the customer;
-
contributes to the detection of any unusual and/or suspicious transactions by his/her customer with due reporting to a Compliance Officer;
-
and employs his/her best efforts to maintain a thorough knowledge of his/her customer from available documentary sources and regular direct contacts with them;
-
finally, he/she must keep the KYC up-to date in accordance with the Bank’s standards. In particular, he/she must trigger an ad-hoc review as soon as necessary, notably in case of becoming aware of any material adverse information in connection with any of their customers in the field of AML-CTF, in accordance with the relevant KYC policies and procedures.
Control Aspect
- Direct contribution to the Bank’s operational permanent control framework
- Responsible for the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan
- Comply with regulatory requirements and internal guidelines
- Responsible for ensuring direct reports comply with regulatory requirements and internal guidelines
- Responsible for ensuring direct reports comply with regulatory requirements and internal guidelines
- Responsible for reporting all incidents according to the Incident Management System
Competencies (Technical / Behavioral)
- Client-focused with excellent interpersonal and communication skills
- Good leadership skills
- Lead by example
- A team player with good initiative and team spirit
- Relevant language skills
Qualifications and Experience :
- University degree
- Relevant banking experience
- Team management experience is preferred
- Must fulfill the fit and proper criteria of relevant regulators
- Must fulfill the BNP Paribas Private Banker Certification requirements (if applicable)
Position Purpose
The Chief Conduct and Control Office (“GM CCCO”) is a transversal team within Global Markets (“GM”) that is responsible for overseeing the main risks and controls, while ensuring the integrity and the sustainable development in GM’s portfolio of activities. GM CCCO has a global mandate across all platforms, with teams located in Americas, EMEA and APAC.
Within the CCCO department, the GM Operational Permanent Control & TAC/NAC[1] Coordination team (“GM OPC”) serves as subject matter expert on the Front Office (‘FO’) supervision structure, operational risks’ assessment, controls and governance. Sitting with the business and acting as the first line of defense (“1LOD”), GM OPC partners closely with FO senior management, COO, Compliance, IT & Operations and other control functions to strengthen GM operational processes. In particular, GM OPC in APAC is aiming to deliver:
- Protection: continuous advisory to FO as well as ad-hoc awareness & training sessions dedicated to 1LoD
- Prevention & Risk Assessment: assessment, monitoring of the front-to-end control plan as well as definition of risk mitigation’s action plan in collaboration with the support functions
- Supervision: Governance structure with regular supervision forums with heads of business lines
*TAC/NAC refers to “exceptional Transaction Approval Committee / New Activity Committee”
Responsibilities
The successful candidate will advise the business lines on Operational Risk Management, promote best practices, contribute to the delivery of an effective & efficient internal control framework, and support business development initiatives while ensuring adequate governance as required by Regulators. The GM OPC Officer will contribute to the three following permanent control streams:
Protection
- Strengthen FO to End control set up through the declaration, investigation, analysis of operational risk incidents
- Contribute to determine risk reduction actions & coordinate ad-hoc global remediation plans
- Drive the Métier in the answer, follow up and closure of any internal or external recommendation
- Materialize, maintain & improve the FO control plan
Prevention / Risk Assessment
- Develop and manage operational risk monitoring measures and reporting (e.g. KRI, Risk Control Self-Assessment (‘RCSA’) including Conduct.
- Contribution to the rationalization, cleaning, efficiency of controls while reducing risks
- Conduct training and awareness sessions aiming to strengthen a risk mitigation culture.
Supervision
- Validation process: Coordinate the internal validation of exceptional transactions, new activities, proprietary custom index or automated trading strategies; Provide advisory to FO and Functions on operational risk assessment throughout the validation process. Ensure adherence to the relevant policies & proper implementation of actions points.
- Coordinate and contribute to the internal control Governance forums and provide advisory on operational risk governance.
Governance
- Ensure qualitative & prompt deliverable for Global Equities for (i)/ (ii)/ (iii).
- Coordinate and perform the relevant reporting
- Ensure good interaction within GM OPC & stakeholders (GM Business, other teams from LoD1 and LoD2.
- The GM OPC Officer makes sure he/she complies with BNP Paribas Group and CIB methodologies, tools, standards, and Code of Conduct
Technical & Behavioral Competencies
- Proven relevant operational risk methodology, internal control, business risk, internal audit or Front Office experience
- Good general knowledge of trading activities and Front-to-Back processes is a must and supporting processes.
- Strong communication skills in written and spoken English (additional language skills is appreciated)
- Demonstrate ability to identify key risk and contribute to the control framework for a wide variety of situations with the ability to act autonomously;
- Demonstrate ability to form and articulate an informed position through structured thinking, problem solving and prioritisation;
- Stakeholder management and influencing skills
- Familiarity with the regulatory landscape in APAC
- High Ethical standard
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 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.
https://careers.apac.bnpparibas/
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
In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 15,000 employees* and a presence in 14 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 74 countries with more than 190,000 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.
BNP Paribas offers you an exciting career opportunity in an international, challenging business environment characterized by high pace and diversity with focus on creating valuable relations with our customers. We offer a competitive salary & benefits package and also an excellent work environment where you’re valued as part of our team!
* excluding partnerships
Position Purpose
-
Contribute and responsible for the team performance, achieving efficiency, risk control and promoting team spirit and professionalism
-
Identify, originate, develop and maintain Wealth Management client relationships for clients on an advisory basis
-
Manage existing and new client relationships in a thoroughly professional manner with the full support management and in line with the professional ethics and guidelines established by BNP Paribas (“the Bank”) from time to time
Key Responsibilities
-
Meet annual goals / budgets set by manager for the team and self (if applicable)
-
Develop existing and new relationships
-
Adhere to client coverage framework. Know all clients in the team, as well as to engage all their clients on a regular basis
-
Execute pricing discipline as per minimum pricing guidelines
-
Market a full range of Wealth Management products and services in a diversified manner to existing and new clients
-
Maintain communications with clients to assess their needs and risk profile, advise on appropriate investment mix
-
Cultivate and manage relationships with other areas of the Bank to promote cross-selling
-
Ensure product documentation including credit facilities is at all times correct and appropriate
-
Maintain good level of knowledge of the Bank’s systems and regulatory environment
-
Contribute to the definition and implementation of WM Asia’s strategies and goals
-
Contribute to the recruitment, performance management and career development of the team
Financial Security
Ensure compliance with Bank’s policies/procedures and regulatory requirements, in particular with regards to the KYC responsibilities and duties, as per relevant policies and procedures, and the summary of responsibilities list below:
Summary of SBO/SCBO Responsibilities pertaining to
Know Your Customer and AML/Sanctions Policies
The RM, when acting as SBO/SCBO:
-
must initiate the KYC on boarding process and is responsible to collect the KYC data (with support of the appropriate teams in charge of due diligence);
-
makes an assessment whether starting a new relationship or maintaining an existing relationship with a customer is appropriate, in respect of the reputation and the money laundering/terrorist financing/sanctions risks, irrespective of the possible type of business the customer is currently doing or intends to do with the bank. This assessment must be formalized in writing in the KYC package (qualitative SBO opinion describing the risks and their mitigants is mandatory in all cases);
-
uses the KYC scoring grid and his/her judgment to determine the sensitivity, assisted by the teams in charge of due diligence. He/she provides the teams in charge of due diligence with the knowledge/details they need when contacts with customers is required;
-
submits the customer’s KYC file to the CAC (Customer Acceptance Committee), as may be required, and provides the CAC with all information and documentation it may require;
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contributes to assess the relevance and appropriateness of offering and/or maintaining certain products and services of the Bank in view of the risk profile of the customer;
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contributes to the detection of any unusual and/or suspicious transactions by his/her customer with due reporting to a Compliance Officer;
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and employs his/her best efforts to maintain a thorough knowledge of his/her customer from available documentary sources and regular direct contacts with them;
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finally, he/she must keep the KYC up-to date in accordance with the Bank’s standards. In particular, he/she must trigger an ad-hoc review as soon as necessary, notably in case of becoming aware of any material adverse information in connection with any of their customers in the field of AML-CTF, in accordance with the relevant KYC policies and procedures.
Control Aspect
- Direct contribution to the Bank’s operational permanent control framework
- Responsible for the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan
- Comply with regulatory requirements and internal guidelines
- Responsible for ensuring direct reports comply with regulatory requirements and internal guidelines
- Responsible for ensuring direct reports comply with regulatory requirements and internal guidelines
- Responsible for reporting all incidents according to the Incident Management System
Competencies (Technical / Behavioral)
- Client-focused with excellent interpersonal and communication skills
- Good leadership skills
- Lead by example
- A team player with good initiative and team spirit
- Relevant language skills
Qualifications and Experience :
- University degree
- Relevant banking experience
- Team management experience is preferred
- Must fulfill the fit and proper criteria of relevant regulators
- Must fulfill the BNP Paribas Private Banker Certification requirements (if applicable)