Compliance Analyst, Wealth Management

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!

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

Position Purpose

To perform compliance testing and AML controls; to enforce Wealth Management Compliance policy and procedures

Key Responsibilities

Primary responsibilities:

• 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.

Secondary responsibilities

• 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

Hong Kong Hong Kong Hong Kong HK