Senior Compliance Officer, Control Room

December 15, 2023

Senior Compliance Officer, Control Room

ReferenceCOM002727

  • Standard / Permanent
  • HK-Hong Kong (HK)-Hong Kong
  • COMPLIANCE
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Key Responsibilities

  • Provide Control Room advisory to Private Side businesses and Equity Research Department
  • Assess and manage potential conflicts of interest and information barriers
  • Assist with pre-deal research publication process and coordinate with Business, Compliance and External Counsel in regard to pre-deal research
  • Provide compliance clearance on research products and ensure that all publications of research comply with firm policies and applicable legal provisions
  • Facilitate barrier crossing requests and update the associated systems
  • Responsible for the maintenance of the Firm’s Restricted List, Watch List and Grey List
  • Identify, evaluate and escalate breaches/incidents
  • Organize, collate and present KPI for management
  • Evaluate and update Control Room policies and procedures
  • Ability to enhance existing operation processes
  • Proactively collaborate with other stakeholders for system enhancements

Competencies (Technical / Behavioral)

  • Prior working experience in research clearance and Control Room
  • Good knowledge of capital market products and business
  • Good communication, interpersonal skills, and presentation skills
  • Proactive in identifying risks, proposing solutions and follow through from start to end
  • Ability to work through tasks systematically and monitor own work to ensure consistency and timeliness
  • Ability to learn and understand applicable regulatory rules and regulations and industry best practices
  • Proficiency in Microsoft Office and PowerPoint
  • Responsible, thorough, professional and high regard for accuracy and quality
  • Attention to detail, efficient and strong organization skills
  • Strong desire to work as part of an effective and collaborative team
  • Able to work under pressure 

Specific Qualifications Required

  • More than 8 years of relevant direct experience in Control Room, with good understanding of Private Side and Research preferred but not a must
  • Bachelor’s degree or equivalent in Finance, Law or related subject

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

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