Sr Compliance Officer/ Compliance Officer, Corporate and Transaction Banking Compliance

Intermediate (3-6 years)

Technical Skills

  • External Audit
  • Operational Risk
  • Regulatory Reporting

Job Description

Sr Compliance Officer/ Compliance Officer, Corporate and Transaction Banking Compliance

Location: Hong Kong S.A.R.

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 & 2016, a career in Compliance at BNP Paribas offers you the opportunity to grow with us in Asia Pacific. 

Overall Job Purpose

To perform compliance reviews, handle compliance advisory and regulatory matters, and support other compliance work.

Direct Responsibilities

• Advise Corporate and Transaction Banking business on compliance related matters and ensure their activities are carried out in accordance with the applicable laws, rules and regulations.

• Perform regular and ad hoc compliance testing including but not limited to the reviews of the top ten RMB cross-border merchandise trade transactions.

• Assist in identifying and controlling compliance risks and providing advice to business management on compliance issues.

• Keep abreast of new regulations and update business management and staff on the changes.

• Assist in disseminating circulars and notices from the regulators in other forms (e.g. emails) and implementing the regulatory requirements.

• Assist in drafting, updating and implementing compliance policies and procedures in response to changes in Head Office directives or local laws, rules and regulations.

• Conduct compliance training to staff and promote compliance awareness and culture.

• Ensure appropriate and prompt escalation to both business and compliance management on identified issues and report to operational risk incident database where appropriate.

• Investigate in conjunction with business management and various internal functions where necessary and handle actual and potential compliance breaches including complaints.

• Prepare relevant compliance reports for submission to Head Office.

• Liaise with regulators and coordinate / perform regulatory reporting, self-assessments, inspection and investigation, and handle requests from regulatory authorities.

• Coordinate internal and external audits and follow up on implementation of recommendations.

• Assist in other compliance matters as assigned from time to time.



• University graduate with major in Business Administration, Legal, Finance or Accounting.

• At least 5-8 years’ experience in Corporate Banking Compliance and/or Central Compliance.  Prior regulatory experience is preferred.

• Conversant with Hong Kong laws, and HKMA and SFC regulations.

• Work well with people and under pressure.

• A good knowledge of compliance framework and financial products.

• Have strong communication skills.

Employment TypeFull-time
Career LevelIntermediate (3-6 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