Job Description

 

BNP Paribas in Asia Pacific - https://careers.apac.bnpparibas


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 14 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.


Position Purpose


This role is responsible for KSPs in the Client and Transfers & Transactions domains, Client Financing and CBA KSP. In addition, as HK PCA Team Supervisor.


Responsibilities

Direct Responsibilities
Contributing Responsibilities

1. KSP – KSP Domain Lead in Client and Transfer & Transactions domains, Client Financing and CBA KSPs
1.1 KSP checks, documentation and reporting
(a) Ensure that KSP checks are executed in accordance with HO / Local guidelines.
- Where there are deviations to guidelines, ensure these are  appropriately approved  and documented
(b) To apply the KSP methodology, complete the planning/results template (approach, source, sampling)
- Incidents/Audit Reports Recos and Findings - consider possible implications
- Set a timeframe for completion of KSP (end to end)
- Formalise methodology with the Domain Lead / Section Head / Head of PCA
(c) Ensure test results are well supported
(d) Review results with Control Team Head  / Head of PCA
(e) Ensure timely communication, escalation, summary emails
(f) Update RM scoreboard and related HO reporting
(g) PCA folders to be updated promptly

2. Supervise the daily KSP work of the PCA HK team, consists of 5 staff members
3. Staff recruitment and performance appraisal
4. Support BCP activities, projects & business initiativities,

 

 

Technical & Behavioral Competencies

1. Good PC skills, Advanced Excel and Visual Basic (VBA) skills will be an advantage

2. Understanding of the WM business procedures and policies, product knowledge, related risk of the process and products, and the relevant risk mitigation and controls procedures.

3. HK Regulatory requirements knowledgement in AML/CFT, investment selling suitability etc.

4. 5 to 10 years of experience in Audit or Operational Risk or 1st or 2nd lines of defence, in the relevant areas.

5. Team player, Mature and independent, good interpersonal skills

6. Meticulous, Able to work independently

7. Staff supervision experience

Specific Qualifications (if required)

Tertiary

Professional certification in Operational Risk will be an advantage

 

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