Compliance Analyst

3 months ago

Hong Kong, Hong Kong SAR China BNP Paribas Full time
As the leading European Union bank, and one of the world's largest financial institutions with an uninterrupted presence in the region since 1860, BNP Paribas offers a wide range of financial services for corporate, institutional and private investors spanning corporate and institutional banking, wealth management, asset management and insurance.

We passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued and encourage applicants of all backgrounds, including diversity of origin, age, gender, sexual orientation, gender identity, religion applicants who may be living with a disability. We have a number of internal employee networks in place to empower our staff to act and challenge the status quo.

•BNP Paribas PRIDE is highly active in favour of the LGBTQIA+ community

•BNP Paribas MixCity which fosters better representation of women at all levels of the organization

•Ability, the mutual aid network for employees with a disability or a disabling or chronic illness

•BNP Paribas CulturAll which celebrates diverse backgrounds

BNP is committed to financing a carbon-neutral economy by 2050. The Group is a founding member of the Net-Zero Banking Alliance and has set up its own Low Carbon Transition Group to support its clients through their energy transitions.

Award Obtained

BNPP has won Top employer Europe award in a 10th consecutive year.

Key Responsibilities:

-Provide Financial Security advisory support to the business lines and functions in accordance with prevailing laws and regulations as well as group policies and guidelines.

-Ensure timely and consistent review, implementation and application of AML/CFT/Sanctions laws, regulations and group policies and guidelines.

-Perform 2nd level controls of compliance generic control plans in accordance with group policies and guidelines.

-Identify, investigate and report suspicious activity and transaction, and escalate any material risk with relevant information to the Head of Financial Security and KYC Compliance of Greater China and Hong Kong.

-Familiar with and keep abreast of changes in local regulatory requirements and Group AML/CFT/Sanctions policies and procedures, and disseminate any changes to affected businesses.

-Participate in AML/CFT/Sanctions processes requiring Compliance involvement in accordance with laws/regulations and group policies/procedures.

-Supporting the métiers on assessing and advising on AML/CFT/Sanctions analysis for high/sensitive clients (e.g. oil and gas, PEP accounts, gaming and casino establishments, charities and non-profitable organisations, embassies, money services businesses etc) as well as clients in sensitive industries (e.g. oil & gas, nuclear, mining, etc.) and where time allows other business.

-Prepare, provide support and coordinate all required reports, updates and dashboard.

-Acting as Level 3 Non-SHINE control in respect of sanctions violation alert management.

-Coordinating, implementing and enhancing AML/CFT/Sanctions related systems (e.g. ATOM, REGLISS, SHINE, etc.), controls/objectives as well as, risk assessments in various current control framework.

-Coordinate and participate in ad hoc projects, review/investigations, risk assessments, and audit/regulatory inspections.

-Supporting the AML/CFT/Sanctions training efforts in Hong Kong, as well as initiatives to enhance risk awareness in Financial Security related issues.

-Generally provide support to and perform tasks assigned by the Head of Financial Security and KYC Compliance of Greater China and Hong Kong.

Competencies (Technical / Behavioural):

-Preferably some legal or regulatory experience.

-Excellent writing skills (English) and analytical skills.

-Excellent communication skills.

-Knowledge of debt capital markets, corporate finance and structured finance transactions preferred.

-A working knowledge of how AML/CFT/Sanctions risks are manage, and clients and products are risk scored and monitored is essential.

-Experience in advising numerous staff across Compliance, front line and Operations.

-An understanding of the fundamental AML/CFT/Sanctions laws, regulations and suspicious reporting standards in Hong Kong.

-Preferred applicant must have at least X years' experience in AML/CFT/Sanctions exposures with a primary focus on corporate and investment banking Compliance work.

-Must evidence an attention to detail and have an investigative and questioning nature.

-Evidence strong interpersonal skills with the ability to communicate and consult at all levels.

-Ability to work independently to carry out projects.

-Ideally be familiar with navigating the operational tools which support AML/CFT/Sanctions Compliance controls.

Specific Qualifications Required:

-University graduate with relevant professional qualifications (e.g. ICA Diploma of Compliance or Anti

Money Laundering, and/or other industry AML memberships/certifications, e.g. AAMLP or CAMLP,

ACAMS). Preferably a Legal Degree and/or Degree in AML.

-Minimum of 3-5 years of related CIB KYC Compliance Advisory experience is preferred.

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