Compliance Officer, Financial Markets Advisory

February 15, 2024

Compliance Officer, Financial Markets Advisory


  • Standard / Permanent
  • JP-Tokyo-To
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Key Responsibilities 

Japan CIB covers various business lines under CIB and 4 domains, Financial Sanction (FS) and KYC, Market Integrity (MI), Protection of Interest of Clients (PIC) and Professional Ethics (PE).

This position is a junior-mid level role of Financial Markets (FM) business advisory team mainly focusing on PS&F, Equity, Equity Derivatives advisory topics and also MI.

As a junior-mid level Compliance Officer, you’re expected to; 

  • Provide real-time compliance advice to Global Markets (mainly PS&F, Equity, Equity Derivatives and QIS related business) on Compliance matters on the trading floor.
  • Coordinate views/feedbacks/findings from Japan compliance regarding local regulations, regulatory expectations, practices, and other items as needed, and provide them to global/regional Compliance teams.
  • Coordinate views/feedbacks/findings from Compliance to the relevant businesses within the Financial Markets area, coordinating within the Japan compliance team as well as, where needed, with the regional and/or global Compliance teams.
  • Manage and perform day-to-day compliance controls to secure BNPP Permanent Control framework.
  • Provide training sessions regarding rules, regulations, policies and procedures to Global Markets or other related departments.
  • Analyse regulations and global/regional policies in case there are any new laws/regulations/rules/policies or there is any update and consider the applicability.  Where applicable, to update internal policies and procedures in accordance with any such changes.
  • To handle any incident with regulatory impact collaborating with the necessary stakeholders and functions
  • Communicate with Japanese regulatory authorities including inspectors.

Competencies (Technical/Behavioural)

  • Ability/Desire to solve compliance issues with tenacious mind set.
  • Fluency in Japanese and English both written and verbal.
  • Ability to perform as a good coordinator with relevant departments.
  • 1-3 years of compliance experience is plus.


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.

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

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