Compliance Officer - Associate/Assistant Manager

Description & Requirements

Job Title: Compliance Officer, Wealth Management (Associate)

Department: India CoE Compliance Hub

About Business line/Function:

India CoE Compliance Hub enables safeguarding the Groups reputation and mitigating the risks across all business lines by supporting the Compliance functions globally. Currently, the India CoE Hub is structured into divisions aligned with the areas they serve, offering services for Group Compliance COO TOP, trade surveillance, electronic communications monitoring, transversal risk management, personal account dealing, MIS, and project support. The team collaborates closely with business partners worldwide.

Position Purpose:

This position supports the Wealth Management Hong Kong and Wealth Management Singapore KYC/Financial Security Compliance teams. The purpose of the position is to enforce the Wealth Management compliance on-boarding and account recertification policies and procedures, in addition to ensuring all such activities comply with HK and SG regulatory requirements and expectations.

By ensuring accuracy and adherence to compliance standards, this position plays a critical role in supporting the teams goal of maintaining a robust and reliable compliance framework, safeguarding the organizations integrity, and fostering trust with stakeholders.

Responsibilities

Compliance Officer (Associate) CIB & Wealth Management

India CoE Compliance Hub BNP Paribas India Solutions

• Business Line / Function The India CoE Compliance Hub protects the Group’s reputation and mitigates risk across all business lines by delivering global compliance services. The Hub is organised into divisions that support Trade Surveillance, Electronic Communications Monitoring, Transversal Risk Management, Personal Account Dealing, MIS, Project Support and other core compliance functions. Teams work closely with onshore partners in EMEA, AMER, APAC, Hong Kong and Singapore.
• Position Purpose To provide endtoend KYC/AML/CFT support for both Corporate & Institutional Banking (CIB) and Wealth Management onboarding, recertification and ongoing monitoring activities. The role acts as a 2 LoD liaison between 1 LoD business units (CEFS, Wealth Management relationship teams) and onshore compliance teams, ensuring that all client files meet global and local regulatory standards.
• Key Responsibilities

A. Core KYC / AML Operations (CIB & Wealth Management)

• Review and manage escalation forms, verify completeness of local addon documentation and ensure data consistency across 1 LoD submissions.
• Return KYC files to DDT when documentation is missing or data is inconsistent; revalidate DDT analysis where required.
• Complete the Compliance Assessment Form and coordinate CPL decisions with secondary sites.
• Draft CPL opinions based on client data, liaise with onshore teams for validation and present to B&C / CAC committees.
• Update client files in internal systems (Fenergo, GCARS, etc.) with all supporting documentation.

B. CIBSpecific Duties

• Support onshore CIB compliance teams (EMEA, AMER, APAC) on escalation handling and KYC recertification.
• Analyse structuredfinance, cashmanagement, correspondentbanking, globalmarkets, shipping, aviation, projectfinance and securities transactions for AML risk.

C. Wealth ManagementSpecific Duties

• Perform 2 LoD reviews of account opening and recertification for HK and SG Wealth Management portfolios.
• Produce client risk assessments, assign risk ratings and prepare presentations for HK/SG riskcommittee approvals.
• Screen client transactions, flag suspicious activity, investigate adverse media, sanctioncountry links and PEP exposures.
• Advise business on KYC, FinancialSecurity and AML matters; prepare memoranda, STRs and support internal audits/regulatory inspections.
• Work with onshore compliance on derogations, policy matters and collaborate with the APAC FinancialSecurity AML Advisory team.

D. CrossFunctional & Operational Tasks

• Participate in regular feedback sessions with panelists and senior compliance leads.
• Conduct followup minidrives and maintain multiple candidatetouchpoint communications to ensure a warm, smooth journey for internal stakeholders.
• Provide administrative support (filestatus tracking, bankruptcylist updates, counterparties reviews, investmentprofile questionnaires).

4. Technical & Behavioral Competencies

TechnicalBehavioural

• Solid AML/CFT/KYC experience in financial institutio