General Compliance Officer, China Securities

January 11, 2023

General Compliance Officer, China Securities


  • Standard / Permanent
  • CN-31-Shanghai
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In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 18,000 employees* and a presence in 13 markets, BNP Paribas provides corporates, institutional and private investors with product and service solutions tailored to their specific needs. It offers a wide range of financial services covering corporate & institutional banking, wealth management, asset management, insurance, as well as retail banking and consumer financing through strategic partnerships.
Worldwide, BNP Paribas has a presence in 68 markets with more than 193,000 employees. It has key positions in its three main activities: Domestic Markets and International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises: corporate clients and institutional investors. Asia Pacific is a key strategic region for BNP Paribas and it continues to develop its franchise in the region. 

* excluding partnerships

BNP Paribas offers you an exciting career in an international business environment that is fast-paced, diverse and focuses on creating high-value relationships with our clients. We offer competitive salary and benefits, as well as a working environment where you’re valued as part of the team.

Position Purpose

This is a transversal position to provide compliance oversight and control to contribute in general compliance management of the securities firm.


–    Provide compliance advisories to business lines’ daily inquiries;

–    Assist in developing/updating local compliance and/or operating procedures for business lines to adapt to Group and regulatory requirements;
–    Provide compliance support and guidance to business, in particular to actively participating in and support the new business growth and ensuring associated compliance risks are properly identified and addressed;
–    Work with businesses to ensure that applicable regulatory changes/updates are implemented timely and efficiently and track and oversee non-standard regulatory requests;
–    Monitor business lines’ compliance activities by conducting risk-based compliance control testing;
–    Develop and deliver compliance trainings to enhance awareness and knowledge of applicable laws and regulatory requirements and new regulations;
–    Coordinate with other compliance officers to complete regulatory reporting, review, survey and self-inspection.

The General Compliance Officer is responsible for the following activities: 
–    Follow up and interpret the new laws, regulations and regulatory requirements of the securities sector;
–    Serve as procedure manager and assist to adapt to Group and regulatory requirements;
–    Implement the company's information barrier and conflict of interest management;
–    Organize and Implement compliance publicity/promotion and compliance culture construction;
–    Coordinate and implement compliance trainings and regulatory reporting;
–    Responsible for staff's professional ethics and whistle blowing;
–    Assist other compliance officers in other daily compliance management.

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.

Technical & Behavioral Competencies
–    Well-versed in rules and regulations related to securities firms and other financial institutions
–    Familiar with daily compliance management work and relevant policies/procedures of securities firms
–    Good understanding of securities firms’ operations, products and services
–    Good analytical, interpersonal and communication skills
–    Fluent in English and Mandarin
–    Good computer skills in MS Word, Excel, PowerPoint, Outlook

Specific Qualifications
–    Securities practitioner qualification is a must
–    Securities sector practice experience for at least 5 years
–    Compliance Competency Test pass is a plus

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