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Assistant Vice President – CIB Americas Compliance Risk Assessment

Horaires Temps plein
Marque BNP Paribas Corporate & Institutional Banking
Niveau d'expérience 1 à 2 ans
Niveau d'études Niveau BAC+2/3
Postuler REF: COR002363

Business Overview:

Americas Compliance is an independent governance function headed up by the Chief Compliance Officer for the Americas (Americas CCO) based in New York with responsibility for all Compliance activities in the United States (comprised of business lines rolling up to International Financial Services (IFS) and CIB) and CIB activities in Canada and Latin America. Reporting directly into the Americas CCO is the Compliance Chief Operating Officer (COO) for Americas Compliance. The Compliance COO is, among other things, responsible for Compliance Risk Assessment; Compliance Risk and Control Self-Assessment (RCSA) of Compliance-owned process operational risks; Compliance Issue Management; Compliance Monitoring; Compliance Historic Incident management; and other related permanent control activities.  

*Physical presence in BNPP’s office(s) is an essential function of this position. BNPP requires all of our employees to be vaccinated in order to access its offices, subject to reasonable accommodations for reasons related to disability or religion.

Candidate Success Factors:

Candidates to be measured on the following four performance drivers, which will dictate how individual impact is considered on the Americas platform:

  • Results and Impact
    • Impacts division and influences peers and team
    • Demonstrates good judgement when making decisions of high complexity and impact
    • Relies on limited guidance for most complex decision making
    • Is responsible for driving outcomes which have meaningful effect on team or department
  • Leadership and Collaboration
    • Creates trust with department leaders
    • Acts in leadership capacity for large projects, processes, or programs for a team
  • Client, Customer and Stakeholder Focus
    • Able to build relationships with a mix of intermediate and senior colleagues or clients
    • Interacts regularly with management and department leaders
    • Demonstrates the ability to persuade and influence stakeholders at the team level
  • Compliance Culture and Conduct
    • Takes full responsibility for personal actions and demonstrates courage in facing problems and conflicts
    • Perceived as a person of high moral character; upholds corporate values and displays high ethical standards”

Responsibilities:

Demonstrate BNP Paribas’s commitment to compliance by assisting in the administration of a comprehensive CIB Compliance Risk Assessment program (non-Financial Security) for the Americas including, the US; Canada; Brazil; Argentina; Colombia; Mexico and Cayman. The Compliance Risk Assessment Program serves as a foundation point within the overall Compliance Program for BNP Paribas.  The Federal Reserve, BNP Paribas’ primary regulator, reaffirms the importance of the risk assessment function in their Supervisory Letter (SR) 08-8 ‘Compliance Risk Management Programs and Oversight at Large Banking Organizations with Complex Compliance Profiles’ which states that ‘Risk assessments are the foundation of an effective compliance monitoring and testing program. The scope and frequency of compliance monitoring and testing activities should be a function of a comprehensive assessment of the overall compliance risk associated with a particular business activity.’

The Program requires the identification, measurement, and assessment of the compliance risk associated with applicable laws and regulations by the development and deployment of a methodology that determines ratings for Inherent Risk, the Control Framework, and Residual Risk; the Program also identifies control gap issues that may require remediation as well as assessing whether business activities and operations remain within an established compliance risk profile. As a member of the Compliance Risk Assessment team, help to promote and utilize consistent Compliance Risk Assessment methodologies and practices across the BNP Paribas operating entities in the U.S. and globally as applicable and, in this regard, align as appropriate with IHC Operating Entities (covering Bank of the West (BOTW), CIB, and US Asset Management (US AM)) compliance risk assessment officers, domain leads, business contacts as well as representatives from Group Compliance in Paris, US CIB RISK, and other relevant parties.

  

The role of the CIB Americas Compliance Risk Assessment Analyst / AVP includes assisting with:

  • Development and ongoing maintenance of an inventory of risk profiles and/or statements to categorize regulatory requirements and obligations;
  • Creating and maintaining the process by which the business will document and assess their controls through the risk assessment framework;
  • Training and coordinating the execution of Compliance Risk Assessment campaigns:
  • Development of databases and questionnaires,  report on risk assessment results, and securely store all risk assessment documentation; 
  • Quality assurance reviews of risk assessment results to review consistency and completeness of responses;
  • Supporting 1LOD with the documentation of corrective action plans in the appropriate repository along with owner and target date;
  • Identification of potential enhancements to the compliance risk assessment methodologies, procedures, processes, tools and user interface, risk indicator inputs, analytics and reporting formats;
  • Comply with external regulatory requirements and expectations; internal control standards; Group, Americas, IHC and Operating Entity policies, procedures and standards with regard to Compliance Risk Assessments as appropriate;
  • Compliance-owned process operational Risk and Control Self-Assessments (RCSA) as needed;
  • Compliance permanent control activities as needed
  • Development of Compliance Risk Assessment reporting and presentations to appropriate governing bodies;
  • Responding to regulatory, audit and testing requests.

Minimum Required Qualifications

  • 1 to 5 years’ experience working for a financial services firm and/or self-regulatory organization in Compliance, Risk, Regulatory roles and /or data analytics roles.
  • Strong knowledge of data analytics, working with structured and unstructured data.  SQL, R and robust Excel knowledge, including use of advanced formulas and macros.
  • Experience with visual analytics tools (PowerBI, Tableau and/or other tools).
  • Presentation and reporting skills including MS Excel, SharePoint, Word, and PowerPoint.
  • Prior experience creating databases and questionnaires.
  • Strong execution skills with the ability to work successfully under demanding deadlines.
  • Team player with the ability to work collaboratively across with front and back office stakeholders and senior management.
  • Strong communication skills including proficiency in writing concise and substantive commentary to summarize results. 
  • Strong attention to detail.
  • Problem solving and root cause identification skills.
  • BA or BS Degree a must.   

Preferred Qualifications;  

  • Knowledge of corporate and institutional banking laws, rules, regulations, supervisory guidance, and industry best practices.
  • Understanding of the Federal Reserve Bank Supervisory Letter 08-08, for establishing effective Compliance programs at large and complex banking organizations, and its applicability to foreign banking organizations and the compliance risk assessment.
  • Knowledge of Compliance Risk Assessment processes.
  • Ability to navigate effectively in transformational environments.

FINRA Registrations Required:

N/A

CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required):N/A

XXXYYY

SEC Security-Based Swap Dealer Associated Person:

N/A

About BNP Paribas:

In the United States, BNP Paribas has built a strong and diversified presence to support its client base. We continue to grow and strengthen our commitment to the US market through our Corporate & Institutional Banking activities.  We are one of a few non-US banks to offer a full value chain for our clients, from trading to financing, and clearing and custody in the US with the international footprint and capacity to deliver both globally and locally. Leveraging the strength of our European roots, our network can support clients in virtually every region of the world, enabling more connectivity and efficiency wherever our clients conduct business.

BNP Paribas’ Corporate & Institutional Banking services corporate clients and institutional investors offering tailored solutions in financing, cash management, and advisory services to companies via Corporate Banking, in capital markets via Global Markets, and in securities custody and administration via Securities Services.  As the asset management arm of BNP Paribas, BNP Paribas Asset Management offers high value-added solutions to individual savers, companies, and institutional investors.

The bank employs nearly 14,000 people and has a presence in the country since the late 1800s in major cities including New York, Jersey City, Chesterbrook, PA, San Francisco, Boston, Chicago, Denver and Washington, DC.  

BNP Paribas is a leading bank in Europe with an international reach across the US, EMEA and APAC. It has a presence in 65 countries, with nearly 190,000 employees. The Bank offers a comprehensive range of banking, investment and financial services solutions through three main fields of activity: Retail Banking for the Bank’s retail-banking networks and several specialized businesses including BNP Paribas Personal Finance and Arval; Investment & Protection Services for savings, investment and protection solutions; and Corporate & Institutional Banking, focused on corporate and institutional clients. Based on its strong diversified and integrated model, BNP Paribas helps all its clients (individuals, community associations, entrepreneurs, SMEs, corporates and institutional clients) to realize their projects through solutions spanning financing, investment, savings and protection insurance.

We take pride in our expertise and our ability to adapt while constantly looking ahead to create a more sustainable world.

BNP Paribas. The Bank for a Changing World - https://usa.bnpparibas/en/homepage/join-us/our-opportunities/

BNP Paribas is committed to providing a work environment that fosters diversity, inclusion, and equal employment opportunity without regard to race, color, gender, age, creed, sex, religion, national origin, disability (physical or mental), marital status, citizenship, ancestry, sexual orientation, gender identity and gender expression, or any other legally protected status.

Primary Location: US-NJ-Jersey CityJob Type: Standard / PermanentJob: MISCELLANEOUSEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 1 yearSchedule: Full-time Reference: COR002363