CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Compliance Control and Risk management Officer APAC
BNP Paribas (Asia)
May 11, 2018
About BNP Paribas in Asia Pacific (www.apac.bnpparibas)
In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 15,000 employees* and a presence in 14 markets, BNP Paribas provides corporates, institutional and private investors with product and service solutions tailored to their specific needs. It offers a wide range of financial services covering corporate & institutional banking, wealth management, asset management, insurance, as well as retail banking and consumer financing through strategic partnerships.
Worldwide, BNP Paribas has a presence in 74 countries with more than 190,000 employees. It has key positions in its three main activities: Domestic Markets and International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises: corporate clients and institutional investors. Asia Pacific is a key strategic region for BNP Paribas and it continues to develop its franchise in the region.
BNP Paribas offers you an exciting career opportunity in an international, challenging business environment characterized by high pace and diversity with focus on creating valuable relations with our customers. We offer a competitive salary & benefits package and also an excellent work environment where you're valued as part of our team!
* excluding partnerships
Part of the APAC Compliance COO Office, the Compliance Control and Risk Management (CCRM) Team performs periodical testing checks on both the Compliance APAC function and APAC Business lines to ensure the efficacy of BNP Paribas APAC Compliance control framework.
Permanent Control / testing & monitoring
o Perform controls testing on a regular basis o Conduct review of controls testing performed at country level to validate the findings o Write high quality testing results, findings and reports o Communicate review results, present identified issues to Country Compliance, work with the Country Compliance to develop and implement a plan of corrective action and prepare written reports. This may involve coordination, consultation and communication with Business Line Compliance and Domain Compliance o Escalate potential issues and exceptions items noted during the control o Track status of corrective action plans agreed with Country Compliance o Maintain detailed and organised documentation of work products o Coordinate with other professionals in the organization, including other Compliance teams and Internal Audit o Remain current on industry rules, regulations and best practices to help ensure that the testing program meets regulatory standards o Provide status report to Regional COO, Compliance & Control on a regular basis
Regulatory missions / IG missions management
o Work with Country Compliance and coordinate Regulatory missions and IG missions including information and documentation collection to address regulatory/IG requests. Maintain a log for requests and information /documentation provided o Follow through on findings and recommendations o Provide status report to Country Compliance, Domain Compliance, and Regional COO, on a regular basis o Develop dashboard to communicate notable issues identified through regulatory missions and IG missions, to senior Compliance management
Contribute to Business Continuity Management
Contribute to Procedure Management
Contribute to Global Banking and Fiscal Regulations control framework testing
Technical and Behavioral Competencies required
Experience within auditing or University degree or equivalent in Finance or Accounting
High level understanding of risk assessments and control assessments
Ability to prioritize and work independently
Experience in creating procedure documents and corresponding controls
Computer literacy, and familiarity in navigating the operational tools which support Financial Security Compliance controls
Highly detail-oriented with ability to evaluate different, complex situations and make appropriate and pragmatic recommendations
Experience and Qualifications required
Dependent upon level, the preferred applicant must have 2 to 8 years of relevant experience in a role which has exposure to banking business with an international financial institution
Familiar with market standards on Financial Security, Market Integrity, Professional Ethics, Client Interest, Conduct, Personal Data, Client Tax and Global Regulatory requirements ie. Volcker, FBL, FATCA....
Fluent English. Language abilities in other Asian languages (particularly Mandarin) is desirable, but not essential