Senior Compliance Officer, Financial Markets Advisory

March 14, 2024

Senior Compliance Officer, Financial Markets Advisory

ReferenceCOM002778

  • Standard / Permanent
  • JP-Tokyo-To
  • COMPLIANCE
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Key Responsibilities As Head of FM Business Advisory Senior Compliance covering CIB Japan
  • Ensure and preserve BNPP’s value and reputation through day-to-day advice to the business and the functions
  • Lead and motivate the team, train junior Compliance officers as necessary
  • Have a good communication and coordination with global and regional FM Compliance colleagues as well as the Domains Compliance Officers.
Advisory-Related Responsibilities within operational perimeter
  • Provide advice to the Financial Markets perimeter, mainly around Global Macro and Global Credit,) on Compliance issues
  • Support the Co-Head of MI Domains and Financial Markets Advisory Compliance and other team members with regard to the business areas covered by the team but is not mentioned in the above point
  • Work closely with Global Banking Advisory Compliance officers when necessary and take a leading role from the perspective of Shoken Compliance for transversal situations across Shoken and Ginko
  • Work closely with Compliance Domain Responsible Officers locally (who are handling transversal topics) when necessary and support them
  • Ensure consistency of decisions and operating models through close cooperation with other Compliance officers and business lines
  • Provide training sessions to the teams including both front office and functions of the relevant operational perimeter regarding rules, regulations, policies and procedures within the operational perimeter
  • Ensure high level regulatory watch, define and update internal policies and procedures according to changes of rules and regulations, and coordinate with the Regional and local functions (e.g. Legal, RISK, local COO), in order to anticipate new regulations and contribute to adapt the Bank’s control framework accordingly
  • Participate in communication with regulators, including inspectors, and participate to regulator relations (e.g. contribute to written answers to specific requests, etc.) when necessary, and provide timely and accurate regulatory submissions
  • Contribute to control plans (including regulatory controls, support businesses in FSA, etc. controls) as applicable
  • Ensure maintenance as well as continued implementation / development of the Group’s internal control framework, internal control plans, Compliance standards and procedures
  • Develop and maintain expertise, advise and assist relevant business lines and functions operating in the area of general Compliance
  • Contribute to, participate in and coordinate specific investigations, as necessary
  • Coordinate with the regional/global Business Advisory and Domain Compliance teams for any relevant matter
  • Report on the above to Compliance Management promptly and accurately through the relevant channels and to assist and coordinate with stakeholders within/outside of Compliance as per necessary
Contribute to the Permanent Control framework
  • Help ensure that Compliance continues to contribute to BNP Paribas’ Permanent Control framework.

Technical and Behavioural Competencies required

Technical skills

  • Strong knowledge of regulation related to his/her coverage area
  • General knowledge of applicable regulatory framework and its evolutions
  • Knowledge of Compliance issues and challenges specific to his/her environment
  • Knowledge of a security firm, preferably a conglomerate financial institution.
  • Legal culture and literacy
Soft skills
  • Integrity
  • Accuracy
  • Analytic skills
  • Good balance of decision making and risk taking
  • Professional scepticism
  • Relational ability
  • Method and rigor
  • Capacity of initiative
  • Dynamism and autonomy
  • Ability to convince
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.
More information 
Award Obtained
BNPP has won Top employer Europe award in a 10th consecutive year

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