What is this position about?

This individual Contributor role is a pivotal governance position within Securities Asia Operations, responsible for upholding operational resilience, regulatory compliance, and risk mitigation across the region. As securities asia staff, you will serve as the Single Point of Contact (SPOC) for operational IT applications, regulatory adherence, and third-party service provider oversight, ensuring full alignment with BNP Paribas’ risk framework and global standards.

Your primary mandate is to fortify the control environment by:

•    Enforcing operational discipline, identifying and mitigating risks (including fraud, AML/FS, and operational failures) through robust control mechanisms and escalation protocols.

•    Ensuring regulatory compliance, acting as the key liaison between Securities Asia Operations, internal stakeholders (Compliance, Risk, IT), and external regulators, while ensuring timely adoption of regulatory changes.

•    Driving governance excellence, maintaining and enhancing operational procedures, KPIs/KRIs, and control frameworks to support business-as-usual (BAU) activities.

Additionally, you will oversee outsourced service providers, monitor performance, and contribute to talent development by embedding a strong risk-aware culture. Success in this role demands deep regulatory expertise, analytical precision, and stakeholder influence, balancing risk management with operational efficiency to safeguard Securities Asia Operations’ integrity and performance

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

Primary Role Responsibilities

Governance & Risk Management

•    Outsourcing Oversight: Contribute to the supervision and performance evaluation of outsourced service providers.

•    KPI/KRI Framework: Assist in defining and monitoring Key Performance/ Risk Indicators (KPIs/KRIs) for Operational Services.

Control & Compliance Framework

•    Operational Resilience:

o    Risk Mitigation: Proactively identify and address operational failures, including fraud risks, by designing and implementing robust control mechanisms.

o    Escalation Protocol: Ensure timely escalation of issues to management, Permanent Control, or Compliance as required.

•    Regulatory Adherence:

o    Strict compliance with internal policies, external regulations, and BNP Paribas’ Code of Conduct.

o    Uphold IT Security policies and Anti-Money Laundering/Financial Sanctions (AML/FS) obligations, including:

?    Execution of operational controls aligned with Group AML/FS policies.

?    Prompt escalation of potential hits for analysis and resolution.

•    Procedure Maintenance: Ensure all operational procedures are reviewed and updated before expiry to reflect current standards.

Other contributions

•    Client Centric Mindset

•    Centralize requirements to supervise change management & IT improvement.

•    Bring direct contribution to BNPP operational permanent control framework

•    Minimize operational failure, including but not exclusively the risk of fraud by helping to devise and by implementing sufficient regular controls

•    Ensure appropriate escalation to management and/or permanent control (or compliance as appropriate) as soon as an issue is identified.

•    Standard processes to route customer queries to correct department for timely resolution

•    Bring solutions to new business initiatives for development

•    Stamp Duty report Preparation

•    Stamp Duty reclaim handling

•    Prepare report to Compliance for regulatory enquiry

What is required for you to succeed?

•    Ability to collaborate/Teamwork 

•    Can work under pressure 

•    Fluent in English and Cantonese, Mandarin is preferred

•    Ability to develop others & improve their skills 

•    Ability to inspire others & generate people's commitment 

•    Financial Markets - Transversal Financial Markets 

•    Law & Regulation – Regulatory

•    Proficient in Excel, macro knowledge is preferred

•    can on duty during holiday if need or work overtime

Required education/certification/licenses

•    Graduate (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