Regulatory Office Compliance Officer

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,