Regulatory Office Compliance Officer

4 months ago

Thành phố Hồ Chí Minh, Vietnam BNP Paribas Full time

As the BNP Paribas Compliance Transformation progresses, the role of Regulatory Office Compliance Officers will evolve in line with the new Compliance operating model. He/she will cover:

- Regulatory Office: to provide reasonable assurance with respect of applicable laws and regulations within the territory.
- PE correspondents: to assist the Head of PE in APAC with the overall objective to promoting a shared common culture of probity and improve staff behavior.

**REGULATORY OFFICE (RO)**:

- He/she is responsible for working on the regulatory watch and updating procedures relating to regulatory guidelines and rules. This includes:

- Disseminate and advise on regulatory updates to relevant parties;
- Responsible for monitoring licensing conditions;
- Assist the Head of Compliance for the territory in projects involving regulatory consultations, review, etc.
- Assist the Head of Compliance for the territory in regulatory compliance and regulatory relationship matters with the regulators, industry associations and other external parties.
- He/she assists Head of compliance to validate the policies to be adhered by the territory and controls that they are respected and implemented by achieving a twofold objective:

- Independence of decisions; binding advice
- Close partnership with the business to provide them, guidance and advisory
- He/she works in close cooperation with Head of Compliance for the territory and business line heads to ensure consistency of decisions and operating models.
- He/she works in close cooperation with Head of Compliance for providing timely and accurate regulatory submissions in terms of surveys, consultations, etc.
- Coordinate/ monitor of reports required by Central bank that need across BNPP departments to involve.
- Record Statutory Declarations in the log, track the signed Statutory Declarations, approve requests in Sailpoint, send updated list to Regional team
- Scan the new local regulations, log in the management sheet and filling
- Support to collect documents evidences for conducting Control plan on PE, MI, PIC.
- Disseminate regulators’ requirement for ad-hoc report or basic/simple reminder/notices
- Prepare licensing documentation to submit to regulators
- Coordinate to organize Compliance committee, writing minutes
- Coordinate to organize training for new joiners or ad-hoc Compliance topic
- Extract report of training courses attendance to remind deadline to complete
- Manage expired MyProcedures by CIB procedures for review/update
- Input the implementation paths for all procedures in “To-do” list in the CRMS Procedure Module
- Draft letters/response letters to SBV, the Court, Tax Dept., Custom Dept. (on client information)
- Other tasks assigned by Head of Compliance

**PROFESSIONAL ETHICS (PE)**:

- To align with the development of PE policies and guidelines provided by Paris Head Office and APAC PE
- To coordinate with other local Compliance (if applicable) to update PE compliance policies
- To implement rules, processes and controls for misconduct prevention, as well as prevention and follow‐through of due process.
- To ensure the consistency of the Code of Conduct integration into the country’s action principles for the employees
- To closely liaise and communicate with local BL and/or OP Compliance for PE matters
- To provide (or jointly with local Compliance) advice and support to employees of BL, Territories and Entities
- To coordinate PE meetings within the local country should there be multiple entities with different local compliance teams (if applicable)
- To coordinate with local Compliance to ensure implementation of PE controls including local specific controls
- To coordinate with APAC CCRM team to ensure performance of PE GCP and / or onsite reviews (if applicable)
- To contribute to and/or coordinate with local / OP Compliance for CCIRC / GRAM / CRMS exercise and applicable risk assessment exercise from PE perspective
- To handle the whistleblowing alerts directly conveyed to him/her while guaranteeing confidentiality
- To handle breaches in PE policies in accordance with APAC guidelines and/or local procedures
- To perform training and ensure sensitization of PE topics
- To closely liaise with APAC PE team to ensure consistent approach in handling PE matters within the context of local regulatory requirements
- To contribute and support global and regional PE projects including IT and Efficiency projects and initiatives as and when required
- To actively attend and contribute towards ad-hoc and regular meetings arranged by Paris Head Office PE and APAC PE
- To timely share or provide PE related policies, procedures, trends, dashboards, statistics and other intelligence with APAC PE, as and when required
- To escalate to Head of APAC PE when there is a complex PE situation for decision making / consultation

**FINANCIAL SECURITY**:

- Coordinate screening request from Regional and Local regulator (sending request to CLM for screening,

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