Key Responsibilities
Japan CIB covers various business lines under CIB and 4 domains, Financial Sanction (FS) and KYC, Market Integrity (MI), Protection of Interest of Clients (PIC) and Professional Ethics (PE).
This position is a junior-mid level role of Financial Markets (FM) business advisory team mainly focusing on PS&F, Equity, Equity Derivatives advisory topics and also MI.
As a junior-mid level Compliance Officer, you’re expected to;
- Provide real-time compliance advice to Global Markets (mainly PS&F, Equity, Equity Derivatives and QIS related business) on Compliance matters on the trading floor.
- Coordinate views/feedbacks/findings from Japan compliance regarding local regulations, regulatory expectations, practices, and other items as needed, and provide them to global/regional Compliance teams.
- Coordinate views/feedbacks/findings from Compliance to the relevant businesses within the Financial Markets area, coordinating within the Japan compliance team as well as, where needed, with the regional and/or global Compliance teams.
- Manage and perform day-to-day compliance controls to secure BNPP Permanent Control framework.
- Provide training sessions regarding rules, regulations, policies and procedures to Global Markets or other related departments.
- Analyse regulations and global/regional policies in case there are any new laws/regulations/rules/policies or there is any update and consider the applicability. Where applicable, to update internal policies and procedures in accordance with any such changes.
- To handle any incident with regulatory impact collaborating with the necessary stakeholders and functions
- Communicate with Japanese regulatory authorities including inspectors.
Qualifications
Competencies (Technical/Behavioural)
- Ability/Desire to solve compliance issues with tenacious mind set.
- Fluency in Japanese and English both written and verbal.
- Ability to perform as a good coordinator with relevant departments.
- 1-3 years of compliance experience is plus.