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Job ref no.: CT3114387-01#7089

Compliance Officer, Monitoring & Surveillance

BNP Paribas

Position Purpose

The Market Integrity (MI) APAC Monitoring and Surveillance teams is a specialized unit within APAC Compliance and primarily responsible for reviews on existing Surveillance Actimize models, conducting in depth investigations on trading activity and patterns, and refining and building trade surveillance models in accordance with and in anticipation of regulatory expectations and remediation plans.

Additionally the Monitoring and Surveillance Compliance Officers are responsible for working with Business Management, Compliance Advisory, Global Counterparts and IT to monitor for potential market abuse activity, regulatory violations, market manipulation, or suspicious activity. The Market Integrity (MI) APAC Monitoring and Surveillance teams proactively stay abreast of regulatory initiatives in the industry and potential risks to the Bank in order to assess areas to expand or improve surveillance models or reviews. The Market Integrity (MI) APAC Monitoring and Surveillance teams play a critical role in working with the front (1st line of Defense) and supporting areas to perform investigations, when necessary, and to determine and coordinate corrective action. This position will assist in operationalizing the implementation plans in response to regulatory settlements and to support undertakings made to various regulators specifically regarding the continuing evolution and enhancements of the Bank’s surveillance program across all asset classes.

The Market Integrity (MI) APAC Monitoring and Surveillance teams are located in Singapore, Hong Kong, Seoul and
Tokyo with supporting local compliance officers in the respective smaller countries in APAC. This position is based in HK.

Key Responsibilities

  • Operationalize implementation plans and undertakings made to various regulators
  • Conduct transaction surveillance of Rates, Foreign Exchange, Commodities and Futures business units in order to detect potential regulatory violations, identify suspicious activity and items requiring corrective action
  • Analyze transaction activity detected, document findings, provide written explanations to the transaction detail, and conduct investigations into any issue that may arise during the course of analysis
  • Interact with Front Office Salespeople, Traders, Supervisors and Compliance Advisory staff so that an appropriate resolution may be achieved and communicate issues in a proactive manner
  • Raise matters of importance to Departmental Management for discussion, participate in Team meetings, conduct investigations into potentially violative and/or suspicious activity
  • Escalate potentially serious issues and exception items noted during the review process to Management for discussion and further investigation if deemed necessary
  • Assist with the development of new surveillances to cover new risk priorities
  • Conduct or assist with special investigations and projects
  • Assist with IG/Internal Audit and ad hoc regulatory requests

Competencies (Technical / Behavioural)

  • University graduate with major in Accounting, Business Administration, Economics, Finance or Law or equivalent qualification
  • At least 7 years’ regulatory or compliance experience, experience in monitoring and surveillance is preferred
  • Experience or specialization in an asset class such as Rates, FX, Commodities and Futures
  • Strong knowledge of APAC market regulations, particularly in relation to Rates, FX, Commodities and Futures industry; preferably some exposure to rules and regulations of the US SEC, CFTC and exchanges and associations under such US federal agencies like FINRA, NYSE, CME, ICE
  • Excellent interpersonal and communication skills, including writing, with the ability to interact effectively with front and back office staff and senior management
  • High attention to details
  • Strong analytical and investigative skills
  • Ability to manage multi task, and handle multiple compliance reviews and projects at the same time and meet deadlines
  • Proactive in identifying risks and proposing solutions

Preferred Qualifications:

  • Exposure to trading desks, electronic trading market and securities industry strongly preferred
  • Experience with surveillance and case management systems, such as NICE Actimize and SMARTS
  • Strong computer skills including MS Office Suite; Excel, Bloomberg
  • Familiarity with market data and due diligence vendors (Bloomberg, Reuters, etc.)

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More job information
Job ref no. CT3114387-01#7089
Salary
  • N/A
Job Function
Industry
Employment Term
  • Permanent
  • Contract
  • Full-time
Experience
  • 7 years - 12 years
Career Level
  • Non-management level
Education
  • Degree