Compliance Officer- WM Compliance - Surveillance

BNP Paribas offers you an exciting career opportunity in an international, challenging business environment characterized by high pace and diversity with focus on creating valuable relations with our customers. We offer a competitive salary & benefits package and also an excellent work environment where you’re valued as part of our team!

About BNP Paribas in Asia Pacific ( www.apac.bnpparibas )
In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 15,000 employees* and a presence in 14 markets, BNP Paribas provides corporates, institutional and private investors with product and service solutions tailored to their specific needs. It offers a wide range of financial services covering corporate & institutional banking, wealth management, asset management, insurance, as well as retail banking and consumer financing through strategic partnerships.
Worldwide, BNP Paribas has a presence in 74 countries with more than 190,000 employees. It has key positions in its three main activities: Domestic Markets and International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises: corporate clients and institutional investors. Asia Pacific is a key strategic region for BNP Paribas and it continues to develop its franchise in the region.
BNP Paribas offers you an exciting career opportunity in an international, challenging business environment characterized by high pace and diversity with focus on creating valuable relations with our customers. We offer a competitive salary & benefits package and also an excellent work environment where you're valued as part of our team!
* excluding partnerships

Position Purpose
  • To perform alert disposition, conduct investigation and provide advisory to Business on AML related matters.
Key Responsibilities
  • Responsible to review transaction alerts for any money laundering issue, collect comment from Relationship Manager as appropriate.
  • Conduct investigation, meeting with relevant staff and prepare report on cases with potential suspicious transactions.
  • Liaise with Head Office, IT and Compliance of other location in reviewing transaction monitoring thresholds and parameters.
  • Participate/To assist in project to enhance transaction monitoring systems and perform UAT.
  • To assist in coordination of regulatory inspection and investigation.
  • To ensure compliance with applicable laws and regulations. Keep abreast on new regulations and to update Management and staff on changes in regulations.
  • To identify and control compliance risks, implementing monitoring measures where required.
  • To advise Business and Functions on compliance and regulatory issues.
  • To support in 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 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.
  • To provide training on compliance issues and promote compliance awareness and culture.
  • 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.


Competencies (Technical / Behavioural)
  • Familiar with Hong Kong laws and regulations.
  • Work well with people and under pressure.
  • A good knowledge of compliance framework.
  • Good communication skills with Front Office.
  • Need to work as a team.
Specific Qualifications Required
  • A graduate of a tertiary institution.
  • At least 3 years compliance experience in AML/wealth management.