Conduct Risk Officer (HK/ SG Based)

What is this position about?

•    Act to establish C&C Department as a keen business partner and play a key contributory role to the Bank’s business strategy: 

•    As the first line of defense, to ensure that risk-based, sustainable and efficient strategies are deployed to address Operational, Business and Conduct risks in the region, in close collaboration with the Business of WM in APAC.

What would be your typical day at BNPP Paribas look like?

Primary Role Responsibilities

1.    Handling of Client Complaints 

•    Act as gatekeeper of the complaint handling process (end to end) including advising whether certain cases fall under BNPP definition of client complaint.

•    Advise internal stakeholders on the complaint handling process. 

•    Ensure efficiency of the handling process e.g. coordinating workgroup discussions in order to ensure each timeline milestones are adhered to per policy. 

•    Conduct reviews and fact finding in order to manage the response to 

•    Oversee the coordination of the Client Complaints Committee including maintenance of the complaint logs.

•    Ensure the necessary reporting is prepared and issued timely, with accurate information. 

2. Conduct, Front Office Surveillance and Reviews

•    Engage and work closely with the key stakeholders to ensure a successful implementation of the Conduct Program (including senior management, project teams, Front Office, Investment Services, and other stakeholders). 

•    Be one of the key contact points for conduct advisory and assessment 

•    Advise and engage internal C&C stakeholders on consolidation of assessments on review results, justifications and findings, prior to presentation to committees and forums. 

•    Coordination of key Conduct-related forums including materials preparation

3. Conduct Training and Awareness

•    Support the implementation of the Conduct Training & Awareness roadmap by working with relevant stakeholders in the scope and materials preparation

•    Ensure the training and awareness initiatives are aligned with priorities defined by Management and Head Office

•    Be involved in conducting dilemma sessions to FO staff including tracking and reporting of the progress in relevant forums or committees.

Other contributions

•    Provide support in the coordination and implementing the framework for portfolio review process including quality assurance reviews of the portfolio reviews conducted by FO

•    Take on ad hoc project assigned by the Head of Conduct and Control – Governance, Advisory and Surveillance

•    Contribute to the management and coordination of Audits (internal and external) for topics under responsibility.

What is required for you to succeed?

•    Fluent in English, Cantonese and Mandarin

•    Experience in investigative work within private banking space is critical.  Investigative experiences may include incident management, complaints handling or involvement in thematic reviews.

•    Strong ability in data analysis as this role requires a candidate to work on various dashboard reporting to Management or relevant investigative work.

•    Report writing is key part of the role hence good writing and presentation skills are crucial

•    Experiences in cross-functional stakeholder management which include Front Office, HR, Legal and Compliance.

About BNP PARIBAS

As the leading European Union bank, and one of the world’s largest financial institutions with an uninterrupted presence in the region since 1860, BNP Paribas offers a wide range of financial services for corporate, institutional and private investors spanning corporate and institutional banking, wealth management, asset management and insurance. 

We passionately embrace diversity and are committed to fostering an inclusive workplace where all employees are valued and encourage applicants of all backgrounds, including diversity of origin, age, gender, sexual orientation, gender identity, religion applicants who may be living with a disability. We have a number of internal employee networks in place to empower our staff to act and challenge the status quo.

•    BNP Paribas PRIDE is highly active in favour of the LGBTQIA+ community

•    BNP Paribas MixCity which fosters better representation of women at all levels of the organization

•    Ability, the mutual aid network for employees with a disability or a disabling or chronic illness

•    BNP Paribas CulturAll which celebrates diverse backgrounds

BNP is committed to financing a carbon-neutral economy by 2050. The Group is a founding member of the Net-Zero Banking Alliance and has set up its own Low Carbon Transition Group to support its clients through their energy transitions.

https://careers.apac.bnpparibas/

More information 

BNP Paribas – Diversity & Inclusion Journey

BNP Paribas – The Bank Of Green Changes

Award Obtained

BNPP has won Top employer Europe award in a 10th consecutive year