Compliance Officer, HK Financial Security

Intermediate (3-6 years)

Technical Skills

  • Accountancy
  • Anti Money Laundering (AML)
  • Audit
  • Compliance
  • Internal Audit
  • Know Your Customer (KYC)
  • Risk Assessment
  • Training

Job Description

Compliance Officer, HK Financial Security

Location: HK-Hong Kong (HK)-Hong Kong

BNP Paribas Overview

The BNP Paribas Group is a leader in banking and financial services, employing over 185,000 people across 75 countries and 5 continents.  BNP Paribas Corporate & Investment Banking (CIB) is a leading European investment bank with global leadership in many of our businesses.  BNP Paribas CIB, with nearly 18,000 employees in over 50 countries, can offer you an exciting and truly global career.

At BNP Paribas CIB, we work continuously on behalf of our clients, helping them to realise their projects around the world.  You can be an important part of this, helping us to serve our clients both in mature and emerging markets, providing them with financial solutions across a diverse range of expertise, products and services.  Our origins lie in Europe but nearly a quarter of our employees now work in our multi-award-winning Asian offices and we are a committed player in all markets.

In Asia Pacific, BNP Paribas has been present in the region for over 150 years and have plans to grow our business from €2bl EUR to €3bl EUR by the end of 2016.  With over 8,000 employees in the region and presence in 14 markets, including our 3 main centres in Hong Kong, Singapore and Tokyo, BNP Paribas offers you the chance to grow with us in Asia Pacific.

Department Overview

In an ever changing world with a continually shifting regulatory landscape, Compliance supports the CIB and RB&S teams globally to deliver award winning products and services to their clients.  Compliance sits at the heart of BNP Paribas’ internal control framework and is independent from the CIB and RB&S businesses. 

In APAC, the Compliance function is being transformed in order to meet the requirements of a changing regulatory landscape in the Region and globally.  We are committed to learning and, through our APAC Campus in Singapore, provide dedicated Compliance training and seminars to ensure our people are kept up to date with changes in regulation and best practices.  With the function scheduled to almost double in size over the course of 2015, a career in Compliance at BNP Paribas offers you the opportunity to grow with us in Asia Pacific. 

If you are dedicated, curious, pragmatic, client focused and want to be on the cutting edge of the changing global financial services sector, a career in Compliance may be for you.

Direct Responsibilities

  • Direct contribution to the Bank’s operational permanent control framework.
  • Familiar with and keep abreast of changes in local regulatory requirements and Group AML policy, and disseminate any changed to affected businesses.
  • Advise all métiers in Hong Kong and Asia Pacific (wherever applicable) on KYC standards with an ancillary AML monitoring role as well.
  • Monitor, identify, investigate and report suspicious activity and transaction, and escalate any material risk relevant information to AML Compliance Officer & MLRO.
  • Advising all métiers and Client Management on CIB KYC standards, particularly in conjunction with the requirements of the Hong Kong AML (Financial Institutions) Ordinance and the European Directives.
  • Supporting the métiers on assessing and advising on KYC analysis for sensitive clients.
  • Acting as Level 3 SHINE control in respect of sanctions violation alert management.
  • Conducting periodic Compliance and Control testing.
  • Coordinating, implementing and enhancing AML/CTF and Sanctions monitoring tools (e.g. ATOM, REGLISS, SHINE etc), controls/objectives as well as, risk assessments in various current reporting processes, and suggesting enhancements to current reporting mechanisms.
  • Assisting in handling internal audit and regulatory/law enforcement agency requests/investigations in the areas of AML/CTF & Sanctions Compliance in Hong Kong (and if time permits other countries in Asia Pacific).
  • Supporting the AML/CTF and Sanctions training efforts in Hong Kong, as well as initiatives to enhance the online training programmes and promote AML/CTF & Sanctions Compliance awareness and culture.



  • Degree holder in law, finance, accounting or related disciplines
  • Minimum 3-5 years of relevant AML Compliance experience in banking industry, preferably international banks
  • Well-versed with rules and regulations related to banking and financial institutions
  • Familiar with anti-money laundering process and procedures, including Sanctions & Embargoes requirements
  • Good understanding of banking operations, products and services
  • Good analytical, interpersonal and communication skills
  • Fluent in English and Cantonese. Mandarin will be a plus.



Specific Qualifications Required

University graduate with relevant professional qualifications (e.g. ICA Diploma of Compliance or Anti Money Laundering, and/or other industry AML memberships/certifications, e.g. ACAMS). Preferably a Legal Degree and/or Degree in AML.

Employment TypeFull-time
Career LevelIntermediate (3-6 years)
Education LevelBachelor
LanguageEnglish, Cantonese, Mandarin (Putonghua)
BNP ParibasInvestment Banking and Brokerage

63/F, Two IFC, 8 Finance Street, Central, Hong Kong

directions_walk11 mins walk from Central Station