Compliance Officer, Wealth Management (Product Advisory)

BNP Paribas
Singapore, Singapore
Nov 10, 2019
Nov 15, 2019
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 17,000 employees* and a presence in 13 markets, BNP Paribas provides corporates, institutional and private investors with product and service solutions tailored to their specific needs. It offers a wide range of financial services covering corporate & institutional banking, wealth management, asset management, insurance, as well as retail banking and consumer financing through strategic partnerships.

Worldwide, BNP Paribas has a presence in 73 markets with more than 196,000 employees. It has key positions in its three main activities: Domestic Markets and International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises: corporate clients and institutional investors. Asia Pacific is a key strategic region for BNP Paribas and it continues to develop its franchise in the region.

BNP Paribas offers you an exciting career in an international business environment that is fast-paced, diverse and focuses on creating high-value relationships with our clients. We offer competitive salary and benefits, as well as a working environment where you're valued as part of the team.

* excluding partnerships

Position Purpose

This person is required to work in a team of 5 within the WM Compliance SG department. The team is responsible for reviewing investment products and materials, providing compliance advice on investment and general matters as well as contributing to the Protection of Client Interest (PIC) and the Market Integrity (MI) domain within Compliance.


Direct Responsibilities

Providing product and general advisory
- Participates in product review committees to ensure new products are reviewed and approved in line with regulations, industry best practices and internal policies.
- Review product materials and marketing materials from investment services and front office
- Advise Investment Services and FO on investment related regulations and queries

Complaints Handling
- Participate in complaints related meetings as Compliance rep and provide inputs on the appropriate handling of client complaints

Projects Participation
- Involvement in projects as Compliance rep to improve policies, procedures or systems that are relevant from investment and suitability perspective
- Involvement in Client Experience digital projects

Contributing Responsibilities
- Contribute to the implementation and maintenance of the Protection of Client Interest (PIC) domain requirements.

Technical & Behavioral Competencies

1. Relevant experience in performing Compliance reviews of new products and new activities process
2. Relevant experience in investment and product advisory in Compliance in Wealth Management or Investment Banking (minimum 5 years)
3. Familiar with investment suitability as well as suitability surveillance
4. Good communication skills, able to engage and advise Front Office
5. Good knowledge of Wealth Management investment products
6. Good team player and also able to work independently

Specific Qualifications

1. University Degree
2. Relevant professional qualifications (CFA or FRM equivalent qualifications preferred)

Similar jobs

Similar jobs