What is this position about?

The Compliance function is at the heart of BNP Paribas’ risk management. One of the pillars of the Group’s internal control setup, Compliance teams work both independently and in close partnership with the Business to adapt to the evolution of the Group’s activities and the requirements of the regulators. Compliance teams contribute to maintaining the reputation of BNP Paribas and the trust of our clients, thanks to their strong control of non-compliance risks, allowing everyone to work with confidence.

The Market Integrity (MI) Domain and Practices APAC have various operating units, namely Control Room, MI Framework and GBFR, Reporting Practices, and Market Abuse Surveillance teams that are located across different APAC countries with the hubs in Singapore, Hong Kong and Japan with India supporting as an outsourced unit for various monitoring and surveillance functions.

The MI Framework and GBFR team works very closely with Business Management, Coverage Compliance, Global Counterparts and IT to identify and monitor the major compliance risks with potential failure in complying with the obligations of MI Domain, both financial and reputational of the Group. The teams proactively stay abreast of regulatory initiatives in the industry and potential risks to the Bank to develop and maintain MI governance framework that identifies, measures and monitors compliance with applicable laws, regulations and rules that govern business in APAC.

This position will support the Bank’s commitment to complying with regulatory/legal reporting obligations relevant to disclosure of interest (DOI). The individual shall monitor and disclose BNPP Group interests in relevant securities to issuers, regulators and/or relevant markets, pursuant to the various laws and regulations across APAC jurisdictions. The individual shall also be responsible for conducting regulatory impact analysis, improving the existing DOI monitoring tool, developing APAC DOI compliance control framework and providing APAC DOI advisory to Business and/or other Compliance functions.

What would your typical day at BNPP Paribas look like? 

In this role, you will

• Daily monitoring on BNPP Group’s APAC shareholding positions for listed issuers across APAC jurisdictions
• Prepare and disclose the Group's substantial shareholding interests through timely and accurate notification to the relevant regulators/issuers.
• Provide and manage daily trading guidelines to Business and granting of approvals on trading of stocks placed in restriction based on agreed internal policy.
• Provide advice, guidance and approval on shareholding position related issues.
• Stay abreast of latest APAC DOI regulatory changes and conduct impact analysis to determine if any enhancement and/or process change is required.
• Maintain and build a regular communication channel with Legal and Compliance for all APAC DOI related matters.
• Pay close attention to the organization changes and business strategic initiatives under all BNPP group that could impact the position reporting framework.
• Have knowledge on the transaction flows and systems to perform product qualification, position ad-hoc check and reconciliation with the support from the relevant IT and Middle Office teams.
• On-going maintenance and improvement of the internal systems and workflows.
• Improve the existing BAU reporting framework, update the team desk manuals, functional specifications and take initiative to develop the 1^st and 2^nd level defense control framework.
• Miscellaneous duties to support other functions internally from reporting position data.

What is required for you to succeed?

• University graduate with major in Accounting, Business Administration, Economics, Finance or Law or equivalent qualification
• Solid knowledge and experience of APAC regulatory reporting requirements
• At least 05-10 years’ compliance or reporting experience
• Demonstrate capacity for sound project management, analytical and problem-solving skills with the ability to exercise sound and balanced judgment.
• Demonstrate strong interpersonal skills with the ability to communicate and consult at all levels, especially with senior management.
• Committed to confidentiality, integrity and objectivity
• Good knowledge of securities markets, businesses, products
• Familiar with securities and exchange rules and regulations
• Proactive in identifying risks and proposing solutions
• Good written and oral communication skills
• High attention to details
• Ability to handle multiple tasks simultaneously and work under tight deadlines

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