Compliance Officer, Monitoring and Surveillance, Market Integrity Compliance

Lead (more than 10 years)

Technical Skills

  • Accountancy
  • Capital Markets
  • Compliance
  • Economics
  • Microsoft Exchange Server
  • Project Management
  • Training

Job Description

Compliance Officer, Monitoring and Surveillance, Market Integrity Compliance

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

BNP Paribas
The BNP Paribas Group is a leader in banking and financial services, employing over 185,000 people across 75 countries and 5 continents. At BNP Paribas, 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 APAC markets.

In Asia Pacific, BNP Paribas has been present in the region for over 150 years and plans to grow its business from €2bl EUR to €3bl EUR by the end of 2016. With 9,000 employees in the region and a presence in 14 markets (with 3 main centres in Hong Kong, Singapore and Tokyo), BNP Paribas offers you the chance to grow with us in Asia Pacific.

Position Purpose
Capital Markets Surveillance team provides compliance coverage and support to various Global Markets businesses.
Key Responsibilities
  • Interact frequently with businesses as well as other support functions on all matters related to transaction exceptions

  • Work with front, middle and back office staff, compliance officers, IT to develop and/or enhance controls, surveillance and associated procedures and training

  • Conduct compliance checking under Compliance Control Plan and Testing Programme and reporting the exceptions to Management

  • Enhance existing and continue developing monitoring programme

  • Manage alerts in market abuse monitoring system for all Business Units in scope in Asia

  • Manage the implementation of electronic communication surveillance to Hong Kong Office as well as other priority Asia Pacific countries

  • Attend and contribute to market abuse project meetings

  • Coordinate responses to regulators’ queries and investigations in liaison with business and other support functions

  • Perform special investigation and review

  • Keep pace with business developments, e.g. new business activities, increasing use of electronic trading

  • Assist the Regional Head of Capital Markets Surveillance with various team projects

  • Track regulatory changes that may have implications on the team’s work



Competencies (Technical / Behavioural)
  • University graduate with major in Accounting, Business Administration, Economics, Finance or Law

  • At least several years regulatory or compliance experience, previous experience in Surveillance is mandatory

  • Good knowledge of global markets, businesses, products

  • Good knowledge of FICC, securities and exchange rules and regulations

  • Some knowledge of international regulatory reform initiatives is welcome but not mandatory

  • Proactive in identifying risks and proposing solutions

  • Good interpersonal skills and good written and oral communication skills

  • Able to work with a variety of people, and build smooth working relationships

  • High attention to details

  • Good team player

  • Able to work independently

  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment

  • Ability to handle multiple tasks simultaneously and work under tight deadlines

  • Project management experience is an added advantage
Employment TypeFull-time
Career LevelLead (more than 10 years)
Education LevelBachelor
BNP ParibasInvestment Banking and Brokerage

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

directions_walk11 mins walk from Central Station