Asset Management Specialist

3 hours ago


Hong Kong, Central and Western District, Hong Kong SAR China BNP Paribas Asset Management Full time
Job Title: Asset Management Compliance Specialist

BNP Paribas Asset Management is seeking a highly skilled and experienced Compliance Specialist to join our team in Hong Kong. As a key member of our Compliance function, you will be responsible for ensuring that our business operations are in compliance with applicable regulatory requirements and Group Compliance standards.

Key Responsibilities:
  • Represent the Compliance function in the company's HK Management Committee and other business and operational committees.
  • Conduct a Monthly Compliance Committee, ensuring that HK management and Board of Directors are kept fully informed of compliance matters.
  • Escalate material compliance concerns or issues to the Head of Compliance, Asia Pacific.
  • Manage and maintain the relationship with the SFC and other regulators, representing the function in relevant industry forums.
  • Ensure all AM Asia staff are aware and trained on the Compliance expectations of the local regulator and the BNP Paribas group.
  • Actively ensure new regulatory trends and requirements are identified and addressed.
  • Maintain an annual Compliance Action Plan defining clearly the Control plans and coverage for all domains including Financial Security, Market integrity, Professional ethics and Client Interest Protection.
Key Requirements:
  • Minimum of 15 years of Compliance managerial experience, preferably with an international asset management company and with experience in handling the relationship with local regulatory bodies.
  • Graduate, preferably with a degree in law or accounting. Professional qualification a plus.
  • Good understanding of regulatory (and possibly Legal affairs) of the Hong Kong Asset Management industry.
  • Good understanding of equity / fixed income / Asset Allocation portfolio management and dealing protocols and life cycle.
  • Independent and keen to take action - solid but approachable nature, with the ability to act calmly and professionally.
What We Offer:

BNP Paribas Asset Management offers a competitive salary and benefits package, as well as opportunities for professional growth and development. If you are a motivated and experienced Compliance professional looking for a new challenge, please submit your application.



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