Senior Compliance Officer, Control Room

• Provide Control Room advisory to Private Side businesses and Equity Research Department
• Assess and manage potential conflicts of interest and information barriers
• Assist with pre-deal research publication process and coordinate with Business, Compliance and External Counsel in regard to pre-deal research
• Provide compliance clearance on research products and ensure that all publications of research comply with firm policies and applicable legal provisions
• Facilitate barrier crossing requests and update the associated systems
• Responsible for the maintenance of the Firm’s Restricted List, Watch List and Grey List
• Identify, evaluate and escalate breaches/incidents
• Organize, collate and present KPI for management
• Evaluate and update Control Room policies and procedures
• Ability to enhance existing operation processes
• Proactively collaborate with other stakeholders for system enhancements

• Prior working experience in research clearance and Control Room
• Good knowledge of capital market products and business
• Good communication, interpersonal skills, and presentation skills
• Proactive in identifying risks, proposing solutions and follow through from start to end
• Ability to work through tasks systematically and monitor own work to ensure consistency and timeliness
• Ability to learn and understand applicable regulatory rules and regulations and industry best practices
• Proficiency in Microsoft Office and PowerPoint
• Responsible, thorough, professional and high regard for accuracy and quality
• Attention to detail, efficient and strong organization skills
• Strong desire to work as part of an effective and collaborative team
• Able to work under pressure

• More than 8 years of relevant direct experience in Control Room, with good understanding of Private Side and Research preferred but not a must
• Bachelor’s degree or equivalent in Finance, Law or related subject

• 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 Paribas