Regional Regulatory Review Compliance Officer

Senior (6-10 years)

Technical Skills

  • Audit
  • Capital Markets
  • Compliance
  • Internal Audit
  • Microsoft Exchange Server
  • Risk Assessment
  • Training

Job Description

Regional Regulatory Review Compliance Officer

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.
Department Overview
  • 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

Position Purpose


  • Responsible for conducting internal compliance reviews based on periodic risk assessments, and handling major regulatory investigations in particular in the context of enforcement proceedings.

Key Responsibilities


  • Assist management in conducting reviews on business areas to identify areas for improvements
  • Assist management in conducting reviews on cases that are being investigated or reviewed by regulators
  • Identifies and controls legal, compliance and reputational risks;
  • Liaises with regulatory authorities in Hong Kong;
  • Assist in the co-ordination for regulatory reviews and investigations in Hong Kong, and also regionally;
  • Submit an annual Compliance review plan based on the findings of Compliance risk assessments, trade surveillance and internal audit reports as well as external investigations/inspections.
  • Conduct Compliance reviews in those activities/entities identified as being exposed to potential regulatory sanction due to multiple regulatory breaches or displaying significant systems and control deficiencies.
  • Co-ordinate closely with Capital Markets and Country Compliance teams within the APAC region.
  • Supports the Regional Head of Capital Markets Compliance, Regional Head of Compliance and Control, and Global Head of GECD & Corporate Finance, Global Head of Compliance and Control as required, including timely  reporting of issues and activities and escalation to Compliance management where required.



Qualifications & Competencies Required
  • 7-10 years’ experience in a senior Compliance role, preferably with investigation and review experience.  Experience with Law Enforcement agents or regulatory bodies a plus.
  • Extensive knowledge of applicable exchange rules and regulations in at least Hong Kong and Singapore with respect to securities activities. 
  • Experience in co-ordination role is essential.
  • Demonstrate strong interpersonal skills with the ability to communicate and consult at all levels, especially with senior management.
  • Be flexible and adopt a hands-on approach.
  • Excellent written and spoken English, Cantonese and Mandarin is essential.
Employment TypeFull-time
Career LevelSenior (6-10 years)
Education LevelNon-specified
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