Overview

In a changing world, BNP Paribas Securities Services is a leading global custodian and multi asset securities services provider, backed by the strength and solidity of a universal banking group.

Our mission is to protect and secure assets for all participants of the investment cycle: buy-side, sell-side and issuers.

BNP Paribas Securities Services has offices in eight locations in Asia Pacific: Singapore, India(Mumbai and Chennai), Hong Kong, Beijing, Malaysia, Japan, Australia and New Zealand.

BNP Paribas Securities Services Hong Kong branch is looking for a new Compliance Manager. The post holder will support the Compliance Function, including Financial Security domain, that activities of Securities Services and its related entities (Custody, Clearing & Settlement Services, Asset & Fund Services, Cash & Financing Services, Corporate Trust Services, etc.) are carried out in accordance with local regulatory obligations and the BNP Paribas Group Compliance Control Framework.

Key responsibilities are

  • To ensure compliance by Securities Services activities (across different client lines) and its related subsidiaries are carried out in accordance with applicable laws and regulations and the Group compliance and permanent control framework;
  • To carry out the client acceptance and review process according to internal KYC procedures as well as local regulatory AML/CFT requirements;
  • To review client name screening and AML alerts;
  • To support in implementing policies and procedures as a result of changes in Head Office directives or local laws and regulations and updating such rules and regulations relative to Securities Services;
  • To keep abreast on new regulations including those relating to Securities Services and to update Management and staff on changes in applicable regulations;
  • To assist Head of Compliance, Hong Kong in preparing the relevant compliance reports & compliance testing pertaining to Security Services for submission to Head Office;
  • To liaise with regulators, external/internal auditors and co-ordinate regulatory inspection, investigation and audit assignment;
  • To assist in preparation of regular internal compliance meetings and validation of new services and new products;
  • To advise and review insourcing/outsourcing arrangements according to group and regulatory requirements
  • To assist in AEOI and FATCA as a representative of the compliance function

The successful candidate should fulfill followings;

  • University graduate with at least 5-6 years in compliance and control function
  • Practical knowledge and understanding in Securities Services business
  • Familiar with Hong Kong laws/regulations and international regulatory topics
  • Strong analytical skills in the context of compliance and control environment
  • Excellent communication and interpersonal skills

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