Client Engagement and Protection Regulations Officer

Employment contract:

Standard / Permanent


Hong Kong





Position Purpose

Within the Capital Market Transversal Operation of BNP Paribas CIB, the Global Client Service team objective is to provide our clients with a top of the range service and ensure a dedicated follow up of business continuity.

Regulatory regimes imply material changes in our internal ways of working and in the relations with clients, due to the extent of the scope at stake

  • Multiple regulations across the globe: Europe (such as EMIR), U.S. (such as Dodd Frank Act, FATCA) and several jurisdictions in Asia Pacific (e.g. in Hong Kong)
  • Extra-territoriality
  • Various and heterogeneous requirements such as timely confirmation, trade reporting, mandatory clearing / margining, distribution to Equity Research to Major US Institutional Investors only
  • All types of clients (Institutional, Corporates, Central Banks, Hedge Funds) impacted
  • All BNP Paribas entities (such as non-European subsidiaries) must comply with their own obligations

Tax legislations (such as the Hire Act in the US or the CRS standards committed by OECD countries) are on the agenda and require an extensive client classification exercise along with a potential regulatory procedural obligation.

All those regulatory requirements bring about an intensive client communication to

(i) informing & educating our clients on regulations BNP Paribas is subject to, 
(ii) undertaking procedural exercises, when needed, to comply with our regulatory obligations and 
(iii) informing the clients about the impacts on our business relationship with them should BNP Paribas fail to comply with its own obligation.

An intensive internal coordination is also required to educate the Business representatives (Global Market and Coverage) about the regulatory framework, the impacts on their clients and the relevant contingency action plan. 

The Client Engagement and Protection Regulations APAC team (“CEPR APAC”) is also closely collaborating with other functions looking after regulatory affairs such as Legal, Compliance, Project Management, IT, Finance, Due Diligence and both Global Market Regulatory Affairs and Global Market Business Management.

CEPR APAC is client facing, responsible for client communication related to regulatory changes resulting from MIFID 2, EMIR (European Market Infrastructure Regulation), the Dodd-Frank Act in the US, other OTC derivatives regulatory regimes (including those pursuant to HKMA and MAS rules), tax-related legislations (e.g. FATCA and AEOI [Automatic Exchange of Information]), Equity Research enablement, among others. All this need to be addressed diligently due to the very important stakes; indeed, not being compliant in due time could result trading disruption, loss in firm’s reputation and regulatory breach.


Direct Responsibilities

  • Regulatory Onboarding and Support
     – Facilitating and follow up with client onboarding
    – Tackling regulatory blocks that prevent trading
    –  Addressing queries from clients, traders, marketers and relationship managers
  • Regulatory Remediation Exercises
    – Ensuring our existing clients comply by the regulatory enforcement date
  • To achieve Regulatory Onboarding and Regulatory Remediation Exercises, the Client Management Regulations team aims at:
    – Preparing the necessary regulatory materials to dispatch to clients
    – BNPP offers and positions (i.e. encourage signature of ISDA protocols)…
    – Remediating any pending items necessary to meet regulatory requirements by their compliance dates and minimize any trading  disruption with our valued clients
    – Reaching out to our clients to ensure they have completed the necessary documentation:
           – Following counterparties adherence to ISDA protocols / Representation Letters
           – For clients who did not sign the ISDA protocol, pushing on bespoke legal documentation
    – Addressing potential requests from regulators
    – Working with the different functions involved in this regulatory compliance effort  (such as Business Management, Legal and UK & US counterparts)

Contributing Responsibilities

  • Anticipating the new rules / change of rules to come (Regulatory Oversight)
  • Contributing to the Permanent Control Framework
  • Contributing to the alignment of procedures across the regions
  • Contributing to a Global Compliance Status update and KPIs

Technical & Behavioral Competencies

  • Experience in project management with a strong communication skills
  • Knowledge related to OTC derivatives regulations and / or tax legislations a plus
  • Understanding of derivatives
  • 1 – 2 years in finance or banking related industry

Specific Qualifications (if required)

  • Degree in Finance, Business, Computer Science (a plus)
  • Fluent in English, written & verbal. Mandarin will be a plus.
  • History of achievement in previous roles
  • Innovative, creative and pro-active
  • Rigorous to ensure quality
  • Strong interpersonal skills
  • Excellent verbal, presentation and written communication skills
  • Excellent analytical and problem solving skills


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.

More information 
BNP Paribas – Diversity & Inclusion Journey
BNP Paribas – The Bank Of Green Changes

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