Regulatory Office – 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

Responsibilities

This team is consisted of 3 staff and this position is the senior role following the team’s Head.
This team has two dimensions; Regulatory Office (“central” in some firms) work, and COO type of work. This position is more focused on Regulatory Office work but with close collaboration with other teams in the whole Compliance team.

Run the Bank
•    Provide Regulatory Compliance team’s services such as:
–   Support of Regulatory Watch and Notice processes
–    Fillings of Regulatory Reports prepared in Compliance
–    Staff Regulatory Registration / Handling of licenses applications/maintenance
•    Support the team in managing day-to-day interactions with regulatory bodies and coordinating responses to their queries / questionnaires as appropriate 
•    Support the team in the monitoring and management of regulatory change in close coordination with Legal, Business Lines and other control functions 

Change the Bank
•    Contribute to the implementation of new regulations/internal policies into local rules when it is related with transversal topics such as regulatory reporting, license topics, etc.
•    Support the production of reports to various stakeholders (local management, regional reporting, etc.) 
•    Support the various compliance related initiatives and projects 
•    Contribute to BNP Paribas’ Permanent Control framework and support the conduct of controls as 2nd Line of Defense

Technical & Behavioral Competencies

•    Ability and proactiveness to learn laws and regulation
•    Knowledge of the securities and banking business
•    Relevant experience in compliance, risk management or regulatory related functions is preferable
•    Ability to work independently with limited supervision as well as part of a team
•    Excellent interpersonal and communication skills (to support both communications with regulators and communications with other departments) 
•    Attention to details
•    Japanese (Native) and English (Business level)
•    Understanding of good business manner in communicating in Japanese
•    Microsoft Office Suite proficiency (Excel, Powerpoint, Word, Sharepoint)

Specific Qualifications Required

•    A several year compliance experience is preferable.
•    JSDA Internal Control Manager (日本証券業協会　内部管理責任者)