Investor Service (AML) - Securities Services, AVP - VP Investor Service (AML) - Securities Services, AVP  …

BNP Paribas
in Hong Kong
Permanent, Full time
Last application, 19 Oct 20
BNP Paribas
in Hong Kong
Permanent, Full time
Last application, 19 Oct 20
BNP Paribas
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!
In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 17,000 employees* and a presence in 13 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 73 markets with more than 196,000 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 in an international business environment that is fast-paced, diverse and focuses on creating high-value relationships with our clients. We offer competitive salary and benefits, as well as a working environment where you're valued as part of the team.

* excluding partnerships

Position Purpose

Being the team lead in investor services department to lead the team on the day-to-day trades, reporting, projects and client service work. Working as a professional partner with clients and all internal stakeholders.


Direct Responsibilities

- Manage and supervise a team to perform KYC on investor during onboarding process and collect the KYC and Tax information/document
- Ensure that investor due diligence has been completed to a satisfactory standard, and is kept up-to-date
- Detection of any unusual and/or suspicious transactions by investor with due reporting to department head and Compliance Officer
- Perform regular review on investor KYC in accordance with the regulatory and the Bank's requirement
- Ensure client are KYC/FATCA compliant, and escalate any non-compliant on a timely manner
- Ensure investor KYC/FATCA information and status are accurately maintained in records
- Ensure client are FATCA compliant by proving files for filing before regulatory deadline
- Abreast with the regulatory and market development of KYC/AML and FATCA/AEOI
- Assist in training and coaching staff to enhance performance
- Enhance the communication/collaboration within and outside the team
- Escalate issues/potential issues, operational risks identified to the department head
- Ensure client satisfaction and service are delivered in a controlled environment, strict compliance with BNP Paribas' internal guidelines as well as external regulatory environment
- To have AML/CFT risk awareness and complete all identified mandatory training so as to ensure understanding of relevant/applicable Group policies (including but not limited to financial security related matters) and to escalate any irregularities where necessary. To also ensure that his/her team has completed and will adhere to the same.

Contributing Responsibilities

- Make recommendation to the department head or other teams the operations areas where improvement is needed for enhancing client satisfaction
- Assist in training and coaching staff to enhance performance
- Assist in new mandate pitching meeting and fund documentation review / fund structure discussion
- Lead the team to complete the regular audit exercise including internal audit and ISAE audit

Risk and Compliance:

• Ensure the operating model in compliance with regulations, market infrastructure evolution and BNP Paribas internal control rules and meet compliance and regulatory obligations


• Adhere to the Code of Conduct and act accordingly internally, when facing clients and providers

Technical & Behavioral Competencies

- Able to collaborate with other team members and provide assistance in BAU and projects
- Being approachable by the junior staff for any enquires, with a positive working attitude and mindset setting role model to the teams
- Able to contribute on any business change and assist to drive the change
- Possess the required level of conduct that is promoted by the organization
Company Overview

BNP Paribas established its presence in Singapore in 1968. We offer products and services in Corporate and Institutional Banking (Advisory and Capital Markets, and Financing Solutions), Wealth Management, Asset Management and Securities Services. Our clients include large multinationals, local and regional corporations, Financial Institutions and High net worth individuals.

BNP Paribas Singapore has more than 2,200 employees and is the Group’s hub for Southeast Asia, where it has core banking licences in all five Southeast Asian markets in which it operates – Indonesia, Malaysia, Singapore, Thailand and Vietnam.

To find out more about BNP Paribas in Asia Pacific, click here

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