FS & KYC Compliance Officer

June 25, 2024

FS & KYC Compliance Officer

Reference12350383

  • Permanent
  • VN-Ho Chi Minh-Ho Chi Minh
  • COMPLIANCE
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BNP Paribas’ FS and KYC Compliance Vietnam will be accountable for the development of the FS and KYC Domain within Vietnam

Financial Security

●      Organize a consistent and coherent roll out of Group Financial Security (GFS) policies and processes across his/her Operational Perimeter (OP)

●      Steer the Financial Security function within OP (at central and local level), in cooperation with the Head of Compliance Vietnam, Head of FS Compliance APAC, GFS and OP Compliance COO

●      Oversee Financial Security activities in all BL and Territories that are vertically integrated within OP, with the exception of some joint-ventures, depending on shareholders agreements

●      Relay the animation of the Financial Security Community within his OP with the support of the Head of Compliance Vietnam, Head of FS Compliance APAC, GFS and in accordance with the global animation strategy defined at Group level

●      Set the tone to develop a strong Financial Security culture in OP

●      Maintain a consolidated view of OP risks and reporting it to Head of Compliance, Vietnam and Head of FS Compliance SEA and APAC

I. Expert activities

●      Advise on FS topics escalated by business

●      Escalate most sensitive transactions, new activities / products, incidents & investigations to Group Financial Security

●      Execute the Decision Process

●      Support heads of business lines in assessment of financial security risk

●      Adapt policies (if needed) and roll-out GFS policies and processes at OP level

●      Ensure Business translates FS policies into operational procedures

●      Adapt control plans (if needed) and oversee level 2 controls and deployment of key reporting indicators

●      Organize regulatory watch on FS topics and ensure sharing of major topics with Head of Compliance Vietnam, Head of FS Compliance APAC & GFS and all other OPs

●      Adapt (if needed) and coordinate the deployment of FS Community Animation plans (trainings, seminars…) within his/her OP

III. Organizational Enablers

●      GFS/COO: Define annual priorities with input from Head of FS Compliance APAC, GFS, and OP Compliance COO

●      OP Compliance COO: Deploy FS tools & systems

Know Your Customer

I. Implementation of the target organizational model and of the Remediation plan

●      Overall reorganization of the function

II. Carrying out Know Your Customers duties

●      Maintain KYC policies for the territory, including scoring grids

●      Accompany KYC policies’ deployment in businesses (e.g., advise on translation into business procedures)

●      Co-sponsor projects related to businesses’ workflow tools (e.g., definition of Group best practices)

●      Co-sponsor projects related to businesses’ database improvements (e.g., database requirements)

●      Co-sponsor projects related to businesses’ scoring tools

●      Define KPRIs for KYC reporting

●      Build reporting architecture and consolidate reporting on KYC

●      Co-validate control plan on KYC

III. Management of the function

●      Sponsorship of KYC tools, most likely on negative news IT tools (e.g., Alacra, Dow Jones Watchlist…), as well as co-sponsorship of Risk Oversight and On-Site Reviews tools

IV. Internal and external representativeness

●      Representation of KYC in your territory as a permanent member of the Compliance executive committee and market bodies

●      Link with local regulation authorities in the territory.

●      Establishment of professional and serene relationships with the other Domains and the other Managers of Operational Perimeters

Compliance ABC Correspondent

      I.        Governance

·         To identify all the ABC stakeholders

·         To act as an entry point for the Ops, BL, / Regions/Territories, Entities and the local stakeholders on ABC related matters.

·         To coordinate and to communicate on all ABC matters with stakeholders across their OPS, BLs, Regions/Territories, Entities in a ABC dedicated committee or in a compliance committee;

·         To articulate and coordinate the anti-corruption set-up.

·         To make sure that all corruption related matters either internal or external, are well covered and reported to their Ops, BLs, Regions/Territories, and Entities

     II.        Risk Mapping

·         To assess control environment for ABC Risk mapping (all questions and risk statements flagged ABC); To coordinate with other stakeholders when necessary.

·         To obtain validation from each local unit’s responsible.

·         Training

·         To ensure that their population has been properly trained in accordance with ABC training policy (identification and segmentation based on their risk of exposure).

·         To ensure compliance with ABC guidelines

·         Recommendations and action plans follow up.

·         To follow up ABC related recommendations and action plans as well as to coordinate stakeholder’s actions when needed. 

   III.        Procedures, controls and reporting

·         To ensure that the ABC global policy and the ABC topics covered by other policies / procedure are rolled out for their scope and that all exceptions regarding ABC matters have been properly approved.

·         To ensure that ABC matters included in other Generic Control Plan have been properly rolled out, that controls are performed and reported to BL/Territories/Entities Units and ABC dashboards are communicated to management. 

·         To coordinate with all ABC correspondents the answers to the AFA questionnaire.

·         Detection and decision process

·         To advise on alerts and cases related to corruption on request.

Key Interaction

·         Head of Compliance Vietnam

·         Head of FS and KYC Compliance Southeast Asia

·         FS Compliance Officers / Correspondents in Territories / Business Lines within APAC

·         Other Domain Leaders APAC (i.e., KYC / Market Integrity / Professional Ethics)

      Other Control Functions representatives

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