(Branch) Compliance_Compliance Officer_Permanent Position

Position Purpose

1. Contribution to Market Integrity Domain
2. Contribution to Financial Security and KYC Domain
3. Contribution to Regulatory Office

Responsibilities

Domain Responsibilities

• Analyse Actimize Market Abuse Alert
• Process AML Step 1 Report
• Update Local sanction list 
• Review Marketer’s Contribution Alert
• Perform Actimize Market Abuse UAT testing/Dashboard
• Monitor Off Market Price Transactions
• Monitor E-Comm Surveillance
• Perform Annual AML Comprehensive Assessment
• Provide transversal regulatory watch and monitoring of regulatory evolutions that have an impact of the business’ or operations’ activities within the Territory and follow the general principles (the “Regulatory Watch Best Practices”) of the regulatory watch process. These include but not limited to:

1. Identification (and update where needed) of appropriate regulatory watch sources; 
2. Having a process in place for regular monitoring of such sources; 
3. Communication on relevant regulatory watch developments to all necessary stakeholders; 

Local Compliance Regulatory Office act as local text identification leaders (“Leader”) for Compliance and can be assisted by potential contributors (local or regional – such as Regional Compliance domains, who can contribute to high level impact assessment and determination of concerned operating entities).  Also, Local Compliance Regulatory Office has to operate APAC Territory Compliance Committees (“TCC”) or any other Cross function committee to cover key regulatory watch topics and to decide on appropriate measures to be taken (e.g. launch of regulatory projects) and to monitor their implementation.

Local Responsibilities

• Prepare Territory and Branch Compliance Committees
• Review local procedure 
• Follow up FSS documents via EDES and Email
• Review access right request for Shin Bank
• Perform Monthly RBA – Non-Compliance section
• Research press release 
• Report to BOK on FX liquidity
• Vigilance checking on KYE
• IG GM Follow up
• OPC Follow up
• LOU Streamlining
• Mandatory Leave Compliance Checking

Secondary Responsibilities

• Perform backup duties when required as described in R&R table

Technical and Behavioral Competencies required

• Fluent in English, Knowledge in Regulation, Procedure, Capacity for Coordination

Experience and Qualifications required

• Hands-on experience over 2 years in Compliance Work

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