Job ref no.: CT3116513-01#2193

Assistant Manager, Due Diligence, Hong Kong

BNP Paribas

Position Purpose

Within BNP Paribas Hong Kong, the Due Diligence Team’s objectives is to be the sole interface for clients going through the KYC due diligence onboarding or recertification process.

The team supports the Corporate and Institutional Banking (CIB) business which encompasses diverse métiers and products.

The team i responsible for 3 main activities:

1. Prioritization of on-boarding with additional focus on Tier 1 potential clients
2. Coordination of the whole process (Risk, Legal, Systems) and production of the KYC (Collection, Confirmation, and most importantly, analysis)
3. This team are also responsible for recertification, annual review and relevant client management processes


The responsibilities of this role will be diverse and varying, depending on work required to be actioned.

Direct Responsibilities

  • Handle assigned Hong Kong new on-boarding requests (Work-In-Progress – WIP) and ensure management initiative is satisfactorily implemented which includes, but not limited to, the enforcement of proactive pipeline management policies (to improve the throughput and completion cycle-time of WIPs), completion of WIPs in meeting the set of KPIs, and management directives.
  • Complete new on-boarding requests in accordance to relevant Standard Operating Procedure (SOP) which also makes reference to CIB KYC Procedure.
  • Act as the Subject Matter Expert (SME) with assigned Front-Office Business Unit(s) across Client Sector(s) and Product(s), Compliance and other support functions in relation to Due Diligence activities. Those related WIPs would often be more complex in nature, require for Enhanced Due Diligence (e.g. Sanctions, Sensitive Industries, Politically Exposed Persons, Adverse News, Very High Risk country exposure), and approval by Client Acceptance Committee (CAC).
  • Handle new on-onboarding requests in relation to Corporate Coverages, Commodity Finance, Investment Banking, Transaction Banking, Financial Institutional Coverages, Global Markets products [e.g. Equities, Fixed Income, Foreign Exchange, Commodities Index Trading (CIT), CIT Metals, CIT Repo, and Commodities Futures Trading].
  • Work closely with Front-Office and prioritize the completion of WIPs according to ever changing demands, and deliver satisfactory results.
  • Ensure timely escalation and own proposed course of actions to line management to address identified risks and blocking points during each WIP handling. Also, identify, analyze, report and explore proposed course of actions to line management in relation to production, policy and system issues.
  • Develop good understanding of the assigned Front-Office Business Un it(s) and process related working knowledge in order to support the Front-Office Business Unit(s) effectively.
  • Perform 4 eyes “Checker" role for those WIPs being prepared by “Maker" to complete the Due Diligence review process.
  • Act as a contact point for Compliance/Audit/Control and Regulator, and assist Line Management to coordinate Internal/External Audit and regulatory activities and submissions for DDT and ensure that DDT as a whole complies with all local, HKMA principles and various regulations as well as internal policies as applicable.
  • Contribute to the review, standardization and rollout of regional policies/procedures, KYC processes and systems as required (e.g.: in accordance with any policy update or system change, etc.) and work with relevant internal stakeholders to minimize impact and ensure smooth integration.
  • Keep abreast with current compliance / AML regulations and KYC procedures, and keep management updated on any significant changes or issues.
  • Actively promote and lead best practice in risk and compliance management.
  • Coordinate with the offshore team and provide guidance where appropriate to resolve any quality and procedural issues.
  • Provide effective back-up support to other team members as and required.
  • Participate in ad-hoc projects (e.g. regulatory/operational/data quality, etc.) as directed by Line Management.
  • Provide guidance and coaching to new/junior team members and contribute towards the optimization of team efficiency.

Technical & Behavioral Competencies


  • Proficient in Microsoft Word, Excel, Outlook and PowerPoint.


  • Well-developed interpersonal, problem-solving and influencing skills.
  • Able to lead, coach and advise new/junior team members.

Specific Qualifications (if required)

  • University graduate, preferably with at least 4 years relevant work experience.
  • Proven ability to manage multiple projects simultaneously.
  • Strong attention to detail with ability to produce accurate and quality work under tight deadlines and minimal supervision.
  • Solid understanding of Corporate & Institutional Banking and Global Markets framework under International Financial Groups.
  • Good understanding of Due Diligence and local Anti-Money Laundering requirements.
  • Working knowledge in relation to Corporate Banking products [e.g. Cash/Deposit, Loan Syndication/Agency, Trade Finance, ECM/DCM, etc] and/or Global Markets products [e.g. Equities, Fixed Income, Foreign Exchange, Commodities Index Trading (CIT), CIT Metals, CIT Repo, and Commodities Futures Trading].
  • Excellent written and spoken communication skills.
  • Fluent in English (spoken and written), and preferably Chinese (Cantonese / Mandarin).
  • Line management and staff coaching experience.

Candidates with strong potential but less than 4 years relevant work experience can be considered as Due Diligence Officer.


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More job information
Job ref no. CT3116513-01#2193
  • N/A
Job Function
Employment Term
  • Permanent
  • Full-time
  • 5 years - 9 years
Career Level
  • Entry level
  • Degree