Position Purpose: 

Provide pricing capacity for internal/external clients; manage mkt risk properly. 

Direct Responsibilities

• Initiate the KYC on boarding process and is responsible to collect the KYC data (with support of the appropriate teams in charge of due diligence); 

• Responsible for ensuring that customer due diligence has been completed to a satisfactory standard and is kept up-to-date; 

• In the KYC package, make an assessment whether starting a new relationship or maintaining an existing relationship with a customer is appropriate, in respect of the reputation and the money laundering/terrorist financing/sanctions/PEP risks, irrespective of the possible type of business the customer is currently doing or intends to do with the bank or other Financial Institutions including risks and mitigants; 

• Uses the KYC scoring grid and his/her judgment to determine the sensitivity, assisted by the teams in charge of due diligence. Sign off KYC package prepared by due diligence team as a relationship manager; • Participate in Customer Acceptance Committee (‘CAC’) and provides the CAC with all information and documentation required; 

• contributes to the detection of any unusual and/or suspicious transactions by his/her customer with due reporting to a Compliance Officer; 

• and employs his/her best efforts to maintain a thorough knowledge of his/her customer from available documentary sources and regular direct contacts with them; 

• Responsible for the KYC up-to date in accordance with the Bank’s standards. In particular, he/she must trigger an ad-hoc review or recertification as soon as necessary, notably in case of becoming aware of client-related event in connection with any of their customers in the field of AML-CTF, in accordance with the relevant KYC policies and procedures; 

• When acting as Secondary Site RM of Legal Entities benefiting from the passport procedure, responsibility of the Secondary Site RM is to acknowledge and approve, on behalf of the Secondary Site, 

the KYC onboarding or recertification due diligence (performed and completed by the Primary Site) for Legal Entities being rated medium risk and low risk, and submit the customer’s KYC file to a CAC for a Legal Entity being rated high risk by the Primary Site; 

• Ensure compliance with Bank’s policies/procedures and regulatory requirements, in particular with regards to the KYC responsibilities and duties, as per relevant policies and procedures.

• Exercises constant vigilance and immediately reports any known or suspected adverse information, suspicions or integrity concerns that develop during the relationship, as well as any other factors indicating that an increase in risk level or due diligence level may be appropriate

•    Endeavor to ensure the quality of the Bank’s portfolio remains sound and healthy.

•    Buy and sell a defined range of instruments ﴾as per desk mandate﴿ for our clients and take positions on behalf of the Bank within defined limits to facilitate client business.

 •     Provide market liquidity through market making in a defined range of instruments ﴾as per desk mandate﴿ and limits; put in place hedging if appropriate.

•    Monitor market news and events and evaluate the risk and opportunities for positions and strategy

•    Closely follow‐up the counterparty risk and any potential excess of credit line all market risks and any limit excess.

 BOOKING:

•    Ensure all pre‐trade requirements are conducted. ﴾credit lines check in particular﴿

•    Ensure that all transactions are timely and accurately booked in appropriate trade capture systems.

•    Ensure that all transactions are timely sent to middle office and/or back office.

 INDEX CONTRIBUTION:

•    Responsible for submission of public indexes as approved under the Index Acceptance Committee ﴾IAC﴿ with the condition that it is authorized in the mandates, as recorded in FORMA and in accordance with the relevant internal guidelines / requirements /procedures / key responsibilities and external / regulatory requirements / code Submitters and Reviewers as well as their respective back‐ups of the contributions are expected to comply strictly with the Group policy regarding their professional standards, as well as their duty to support the market integrity ﴾Group Code of Conduct principals﴿. They are to comply with all local requirements prescribed by the Authority on such contributions.

•    Any attempts to manipulate submissions are subject to the disciplinary procedures, sanctions according the Group policies

•    Bonds end of day bonds marking can be used for Iboxx contribution

PNL

•    Contribute to the daily P&L at the close of the day and facilitate its confirmation by Middle‐Office.

•    Prepare a P&L explain each day and escalate any unexplained elements to desk head for sign off.

•    Provide management with accurate information to analyze the P&L structure

•    Monitor the level of broker fees ensure their relevance vis a vis the current market practice and desk activity

•    Work closely with the procurement group and Middle Office to minimize broker and custodian fees

Contributions

Booking

•    Work with operational support functions to facilitate and monitor the settlement process.

•    Respond swiftly to any issues escalated from MO and BO staff

 COMMUNICATION, TEAMWORK and TRAINING

•    Maintain fluid communication with other front office teams.

•    Build, maintain and improve rates trading team, facilitate transparent and proper communication.

•    Keep all Business Partners in the loop of major organization change that may impact the soundness of operations.

•    Help Business Partners understand business priorities and requirements.

•    Contribute to the continuous improvement of process and systems.

•    Inform management of any major operational incidents, specific risks arising or P&L potential damage.

•    Attend relevant regulatory and product/skill training and keep up‐to‐date with market issues.

Contributing Responsibilities

COMPLIANCE AND RISK MANAGEMENT

•    Comply with regulatory, contractual and internal authorized framework.

•    Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan

•    Work closely with compliance and legal in handling counterpart or exchanges complaints.

•    Request a New Activity Committee to be held whenever required Held a Transaction Approval Process ﴾TAC﴿ is whenever required or involve risk, compliance or LTMG when a transaction present an unusual risk.

•    Report swiftly all operational incidents to Trading Business Management.

•    Actively contribute to the risk identification and control framework reinforcement by suggesting new procedures, evolution of existing ones, of new risk indicators.

•    Direct contribution to BNP Paribas operational permanent control framework

•    Working with sales colleagues, play a role in developing new and innovative products and services to meet client requirements. Develop the skills of traders.

•    Contribute to the development, with sales and trading management, of relevant sales and trading policies.

•     Co‐ordinate and encourage the effective interaction of trading teams with appropriate operational and risk areas, for example market risk and compliance.

•    Working with trading management facilitate effective interaction between sales and execution areas.

•    Encourage and monitor attendance of direct reports at relevant regulatory and product/skills based training.

•    Encourage and maintain effective open communication with all direct reports

•    Contribute to the reporting of all incidents according to the Incident Management System

•    Ensure audit recommendations are resolved within the specific timeline.

• Endeavor to ensure the quality of the Bank’s portfolio remains sound and healthy

• Comply with regulatory requirements and internal guidelines

• 5+ years of experience conducting investment management / quantitative research activities, 
• English and Mandarin
• Demonstrable experience of quantitative research and investment, and structuring funds/products. Good understanding of various types of quantitative investment and structured solutions such as cross-asset solutions, Factor Investing/ Risk Premia solutions, derivatives, structured notes, etc. in China (and preferrable outside of China), preferably with machine learning investment experience 
• Quantitative academic (MA) background preferably complemented with CFA
• Experience in building and implementing quantitative investment, portfolio construction processes and tools
• SAC and AMAC qualified
• Not currently being banned from entry into securities market 
• Of sound character and good professional ethics

Position Purpose

Direct Responsibilities

Support to Territory Management

Support to Office Administration

Support to management of the Front Office mobile phones

Follow the instruction and tasks defined by Compliance procedure on Front Office Mobile Phone Management during the Trading hours;

Permanent Control Aspects

Technical & Behavioral Competencies

Technical:

Behavioural:

Direct Responsibilities

• Direct contribution to BNPP operational permanent control framework.
• Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan.
• Comply with regulatory requirements and internal guidelines.
• Contribute to the reporting of all incidents according to the Incident Management System
• Ensure audit recommendations are resolved within the specific timeline.

Business Responsibilities

• Responsible for the submission all regulatory reports, data, announcements, and information disclosure of the asset management business of securities companies (CSRC, PBoC, AMAC, and SAC); complete the submission and information disclosure of regular regulatory reports and temporary regulatory reports in a timely and accurately.
• Responsible for compiling the process manual of asset management business information disclosure business and improving the design of information disclosure process.
• Responsible for account setting, OTC transaction confirmation, capital settlement and other business operations of the investment trading system.
• Responsible for the daily EOD settlement of investment trading system and other business operations of the investment trading system.
• Responsible for the account management of the fundraising and TA settlement account and the custody account, including but not limited to account opening, authorization, fund transfer, reconciliation, de-register, etc.
• Responsible for reviewing the data of TA/FA business results and daily business management.
• Responsible for reviewing the terms of operation such as asset management plan contracts, business agreements, and operating memo.
• Closely follow the relevant laws, regulations and regulatory policies of the asset management business, and conduct research on regulatory information disclosure.
• Cooperate with IT to complete the OPS business system requirements or system upgrade testing.
• Complete other tasks assigned by the OPS head.
• For all staff other than managers (permanent control aspects):

• Direct contribution to BNPP operational permanent control framework.
• Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan.
• Comply with regulatory requirements and internal guidelines.
• Contribute to the reporting of all incidents according to the Incident Management System.
• Ensure audit recommendations are resolved within the specific timeline.
• Ensure compliance with Company’s policies/procedures and regulatory requirements, in particular with regards to the KYC responsibilities and duties, as per relevant policies and procedures, and the summary of responsibilities list attached hereto.

Technical & Behavioral Competencies

Responsibilities

Key Internal / External Relationships

Technical & Behavioral Competencies