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Compliance Officer-Trading, China Securities
Risk & Compliance
Position Purpose
Compliance Officer-Trading is responsible for the compliance management of the Company's Principal Trading Department under the guidance and supervision of the Compliance Department.
Responsibilities
Direct Responsibilities
Compliance Management Aspects
- Assist the Head of Trading Department to fulfill his compliance responsibilities; and provide reasonable assurance on the compliance of the Trading operations/activities with applicable laws and regulations;
- As a person of contact, be responsible for contacting the Compliance Department on the compliance work of the Trading Department and cooperating to implement the relevant tasks arranged and deployed by the Compliance Department;
- Carry out laws & regulations watch to ensure the Trading Department kept abreast of the latest changes of relevant laws, regulations and regulatory requirement;
- Within Trading, ensure consistency of group policies and methodologies by cascading them down to the relevant stakeholders subject to local regulatory framework;
- Establish appropriate governance to manage risk of non-compliance: Coordinating with Regional GM Compliance Officers, and Leveraging Domains (including but not limited to Market Integrity, Protection of Interests of Client) Compliance Officers expertise;
- Support the effective implementation of associated Trading control set-ups; and follow effective implementation of compliance-related IT tools in his/her scope of responsibilities;
- Provide advisory to the Head and other staff of the Trading Department on compliance matters of Trading business, and provide preliminary opinions on matters in terms of compliance advisory and compliance review to be submitted by the Trading Department to the Compliance Department;
- Submit compliance reports to the Compliance Department regularly or irregularly according to the requirements of the company's relevant procedures;
- Propose compliance self-inspection suggestions to the Head of Trading Department; report any compliance and/or reputational risks or violations of laws and regulations in the Trading Department to the Head of Trading Department and the Compliance Department, and put forward relevant compliance remediation proposals;
- Supervise and inspect the compliance of employees' practice conduct/behavior in the Trading Department;
- Assist the Head of Trading Department to carry out compliance publicity and training of the Trading Department and build the compliance culture;
- Cooperate to complete the inspection, investigation or other regulatory requirements on the Trading business imposed by regulators;
- Complete other compliance tasks assigned by the Compliance Department or the Head of Trading Department.
Permanent Control Aspects
- Direct contribution to BNPP operational permanent control framework.
- Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan
- Comply with regulatory requirements and internal guidelines
- Contribute to the reporting of all incidents according to the Incident Management System
- Ensure audit recommendations are resolved within the specific timeline.
Technical & Behavioral Competencies
Technical:
- Possess professional knowledge and skills suitable for performing the above-mentioned compliance management responsibilities.
- Proficiency in MS Excel, Word, PowerPoint and Power BI, as well as using tools for presentation to stakeholders or senior management
- Strong communication skills in written and spoken Chinese and English
- Familiarity with the regulatory landscape in China
- Stakeholder management and influencing skills
- Ability to identify key risk and contribute to the control framework for a wide variety of situations with the ability to act autonomously
- Ability to form and articulate an informed position through structured thinking, problem solving and prioritisation
- Tact and ability to interact with staff and management at all levels in order to achieve mutually acceptable resolution of incidents
Behavioural:
- Resourceful and proactive to reach out to relevant stakeholders or peers to develop action plans to resolve issues within a cross-functional matrix environment
- Self-motivated, decisive with the ability to adapt to change and competing demands with pressing deadlines for multiple tasks
- High ethical standard
Specific Qualifications (if required)
- Securities practitioner qualification is a must
- Bachelor’s Degree in appropriate field of study or equivalent work experience
- More than 3 years working experience in securities, finance, law, accounting, information technology and other related fields.