BNP Paribas

Compliance Officer, Wealth Management AML Transversal

BNP Paribas
Full Time
Junior (less than 3 years)

Job Description

Compliance Officer, Wealth Management AML Transversal

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

Position Purpose
To perform compliance testing and AML controls, to drive / participate in AML projects.
Key Responsibilities
Primary responsibilities
  • To identify and control compliance risks, implementing monitoring measures, identify exceptions and implement remediation plan with relevant stakeholders.
  • To assist in coordination of regulatory inspection and investigation.
  • To assist in preparing relevant compliance reports pertaining to Wealth Management for submission to Head Office and ensuring the accomplishment of the Department’s mission.
  • 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 drive or participate in AML related projects from Compliance perspective.
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 co-ordinate with different parties in compliance project; analyse and resolve issues in the project with minimal supervision to ensure on time delivery.
  • Familiar with Hong Kong laws and regulations; a good knowledge of compliance framework.
  • Work well with people and under pressure; have strong communication skills.

Technical Skills

  • Anti Money Laundering (AML)
  • Audit
  • Compliance
  • Due Diligence
  • Training
  • Wealth Management