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BNP Paribas in Asia Pacific - https://careers.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 17,000 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.
To perform compliance testing and AML controls; to enforce Wealth Management Compliance policy and procedures
To carry out Financial Security related second level control programme. To identify and control compliance risks/exceptions, implementing monitoring measures and remediation plan where required with relevant stakeholders.To assist in coordination of regulatory inspection and investigation.
To assist in preparing relevant compliance reports pertaining to Wealth Management Financial Security topics for submission to Head Office/local stakesholders and ensuring the accomplishment of the Department's mission.
To assist in coordination of regulatory inspection and investigation.
To ensure compliance with applicable laws and regulations. Keep abreast on new regulations and to update Management and staff on changes in regulations. To draft and implementing policies and procedures as a result of changes in Head Office directive or local laws and regulations and updating such rules and regulations relevant to Wealth Management.
To provide training on compliance issues and promote compliance awareness and culture.
To advise Business and Functions on compliance and regulatory issues.
To carry out the client acceptance and review process and to ensure that compliance especially with issues like money laundering, due diligence on clients, know-your client process, sanctions, transaction monitoring.
Competencies (Technical / Behavioural)
Experience in performing compliance testing or audit background is an advantage.
Ability to analyse and resolve issues with minimal supervision to ensure risks are addressed.
Familiar with Hong Kong laws and regulations; a good knowledge of compliance framework.
Work well with people and under pressure; have strong communication skills.
Specific Qualifications Required
A graduate of a tertiary institution.
At least 2-3 years' experience in the professional field of Audit, Control or Compliance
Internal Number: 4643796
About BNP Paribas (Asia)
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