Head of Prime Solutions & Financing (PS&F) Compliance for APAC

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!

Key Responsibilities

· Provide compliance advisory services to Global Markets front, middle and back office on regulatory and compliance issues, with specific focuses on Prime Solutions & Finance business, EQD Sales and Strategic Equities businesses
· Observe and implement missions and responsibilities of BNPP Group Compliance functions
· Advise business on relevant new laws, rules and regulations in the APAC and other regions
· Identify, manage and control compliance, regulatory and reputational risks
· Work independently in various local compliance projects
· Review of new product/significant transaction proposals and provide comments
· Perform compliance-related matters such as approving of marketing materials, system access, advice of licensing matters with the support of the licensing team, preparation of internal compliance reports with the assistance of a junior staff
· Conduct training on new rules and regulations as well as promotion of compliance awareness and culture, where needed
· Investigate potential compliance incidents or breaches in conjunction with various internal parties
· Coordinate IG inspections with a focus on compliance/regulatory related issues
· Liaise with local regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveys
· Liaise closely with country compliance and business management in APAC concerning the necessary coordination of compliance actions and reporting
· Work closely with the business and country compliance officers in the APAC region to advise on cross border activities or projects
· Work closely with the UK and US Compliance teams on any EMEA and US PS&F or EQD Sales related matters
· Assist rolling out or implementing global or regional policies and procedures for Global Markets business and ensure compliance thereof
· Assume any Compliance Domains Representative Officer role if necessary

Competencies (Technical / Behavioral)
· Strong knowledge of regulatory and compliance requirements in both APAC and Global regions
· Strong interpersonal skills, with the ability to communicate and consult clearly at all levels - business, management and other support functions
· Strong leadership skills and extensive experience in running a Compliance team
· Knowledge of risk and control framework or procedure of a financial institution
· Strong analytical and problem solving skills
· Able to work independently adopting a hands-on approach
· Ability to handle multi-tasks

Specific Qualifications/Experience Required
· Undergraduate Degree with 12 years or more experience in the compliance department of financial institutions, international brokers or securities regulators; with strong knowledge of equities products and/or capital market activities in both APAC, EMEA and US regions, preferably with advisory experience.
· The candidate should have a good understanding of the regulatory environment and the key challenges and developments which the business as well as the wider industry faces.