Compliance COO – Compliance Officer

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

Key Responsibilities

As a member of the Compliance COO department, a compliance officer is responsible for the following activities: 

Responsible for supporting Compliance COO tasks which are divided by two main areas as below: 

1/Regulatory Office area:

• Regulatory notification preparation and information dissemination to all staff 
• Regulatory Communication: the dissemination of various communications and material from Regulators under the supervision by senior member of the team
• Administrative follow-up and processing including setup and management of all employees Compliance Identifier, and management of compliance staff database
• License applications / maintenance, etc.
• Filing regulatory reports prepared by senior Compliance officers

2/ COO area

• Support preparation and aggregation of data for various management reporting (liaising with all Compliance teams)
• Handling the global/ regional/ local compliance reporting
• Managing/Tracking incidents reports and coordinating the remediation plans, etc.
• Procedure management: administrative support for reporting on procedure change and management of the procedure database
• Prepare periodical Compliance communications / reminders to all staff
• Coordination of Compliance trainings (liaising with all Compliance teams for preparation; follow-up; reporting)
• Managing/Tracking progress of project/event within a department

In addition, some general administrative works exist; e.g. meeting setup, filing, data extraction / input / gathering / formatting, system upload, meeting material preparation

In the entire period of hiring, as a compliance officer, responsible to contribute to BNP Paribas’ Permanent Control framework, act professionally, and proactively gain expertise in compliance area.

The above JD is subject to change based on the skill set, growth, team set-up change, etc.

Competencies (Technical / Behavioral)

Technical

• Middle level English, Native Japanese level
• Good skill on Microsoft applications (Word, Excel, PowerPoint, Sharepoint, MS Teams, etc.)

Behavioral

• Willingness to learn and understand regulations
• Ability to work independently as well as part of a team
• Team player and excellent interpersonal and communication skills  
• Analytical skills and attention to detail

Specific Qualifications Required:

JSDA Internal Control Manager (日本証券業協会　内部管理責任者) is preferable but not a must.