What is this position about?

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.

The successful candidate will be part of the Global Markets (GM) APAC Fixed Income, Currencies and Commodities (FICC) Compliance Office team based in Hong Kong. Act as a key subject matter expert advising on FICC regulatory matters and a regional point of co-ordination for North Asia (China, Korea and Taiwan) projects on FICC. Key contacts include all relevant staff; business and functional leads and teams in APAC FICC Department; and various regulatory authorities in APAC.

What would be your typical day at BNPP Paribas look like?

• Advise the business on the laws, rules, and regulations for Hong Kong FICC and coordinate guidance from other APAC regions. Work closely with the Singapore team to assist stakeholders in interpreting regulatory obligations, changes, and their likely impact on the business.
• Provide compliance advisory services to FICC front‑, middle‑, and back‑office teams on regulatory and compliance matters.
• Identify, manage, and control compliance, regulatory, and reputational risks as appropriate.
• Review new‑product and significant‑transaction proposals and deliver concise comments.
• Observe and implement the missions and responsibilities of BNPP Group Compliance functions.
• Deliver training on relevant rules and regulations and promote a culture of compliance awareness where needed.
• Investigate potential compliance incidents or breaches in collaboration with internal parties.
• Coordinate IG inspections, focusing on compliance‑ and regulatory‑related issues.
• Liaise with regulators and handle regulatory inquiries, audits, inspections, questionnaires, and surveys.
• Support the implementation of global or regional policies and procedures for the FICC business and ensure adherence.
• Collaborate with team members in the region and TCO team to ensure seamless execution of tasks.
• Escalate issues promptly and appropriately to your line manager and regional compliance heads, as necessary.

What is required for you to succeed?

Competencies (Technical / Behavioral) 

• Possess excellent knowledge of HKMA/SFC requirements and their practical application.
• Self-starter attitude – proactive, independent, detail oriented and willing to learn.
• Good communication and social skills to collaborate with colleagues at all levels and contribute as a team player. 
• Good command of written and spoken English
• -Fluent in Mandarin and proficient in Chinese language tasks—a valuable advantage for navigating the China market and producing accurate documentation.
• Strong analytical and problem solving skills. 
• Sound knowledge of risk and control framework or related procedures within financial institutions. 

Specific Qualifications/Experience Required 

• 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. 

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