Senior Compliance Officer, Private Side & Control Room (Research Compliance Focus)

February 5, 2024

Senior Compliance Officer, Private Side & Control Room (Research Compliance Focus)

ReferenceCOM002757

  • Standard / Permanent
  • HK-Hong Kong (HK)-Hong Kong
  • COMPLIANCE
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Position Purpose

Senior Compliance Officer 

Key Responsibilities

  • Assist the research compliance manager to provide overall compliance oversight of APAC equity research business 
  • Work independently to provide day to day compliance support to research business stakeholders on compliance related matters including the following 
    – Identify, analyze, and escalate compliance, regulatory and reputational risks /issues 
    – Work in close alignment with Control Room, Private Side Compliance, Global Markets Compliance, Legal to address research related issues 
    – Work closely with country compliance officers in APAC region to advise on cross border activities
    – Identify compliance training needs and administer research compliance training
    – Conduct compliance checks & challenges for risk assessments of APAC research
    – Manages and assists in drafting and updating policies, procedures, and best practices
    – Investigate and address potential compliance breaches and escalate breaches for review and metric reporting.
  • Provide project management support on compliance related matters to drive progress as BNP Paribas builds out its global research franchise, with a specific focus on APAC research build-out 
    – Work closely with global and APAC project managers on research projects with a specific focus on research disclosures 
    – Work closely with country compliance officers in APAC region to advise on cross border business initiatives 
    – Work closely with the UK, Europe and US research compliance teams on research compliance protocols and policies
  • Maintain awareness of regulatory changes impacting Research and to ensure appropriate communication and development of policies, procedures, and best practices
  • Maintain a current knowledge of compliance related industry initiatives pertaining to areas of responsibility and best practices
  • Coordinate with Regulatory team, Legal, Audit and other control functions on responses to regulatory inquiries, exams, audits, and subpoenas 

Competencies (Technical / Behavioral)

  • Excellent communication, presentation, and interpersonal skills, with experience dealing with employees at all levels and across country or regional borders, including the capacity to articulate cases for policy changes
  • Strong data analytical, project management, and problem-solving skills, and a determination to seek answers to complex issues
  • Good knowledge of capital market products and research business
  • 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

  • Bachelor’s degree or equivalent in laws, finance, or related subjects
  • At least 7 years of compliance experiences in comparable financial institutions with at least 3 years solid experiences dealing with research compliance activities including standards for content, analyst conduct, research disclosures, and a solid understanding of conflicts of interest
  • Surrounding the interaction of different businesses with research analysts
  • Experience with reviewing research reports for conflict of interest preferred

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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