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Financial Security Quality Assurance Investigator

Temps plein
BNP Paribas Corporate & Institutional Banking
Niveau d'expérience
6 à 10 ans
Niveau d'études
Niveau BAC+2/3
Offre disponible en :

At BNP Paribas Canada, it is our employees which make the difference... Our 75 nationalities are part of our diversity!

Do you like challenges, a structured framework, the prospect of optimizing and innovating? You are known for your originality and want a certain freedom to think while sharing your knowledge and ideas?

... Come help us contribute to the growth of our Canadian platform!

You will benefit amongst other things from:

  • Access to social volunteer and recreational programs, via our many Employee Resource Groups (ERGs)
  • Opportunities for career development through active internal mobility and our innovative training program: Canada Academy
  • A brand new workspace, flexible, comfortable and easily adaptable to your needs: remote work opportunities, standing desks, innovation lab., open meeting rooms and spaces


Demonstrate the firm’s commitment to compliance by maintaining a Quality Assurance review program that evaluates the firm’s compliance with applicable laws and regulations and discloses violations and control weaknesses. Conduct Quality Assurance reviews of the various front office business areas, branches, and functions relating to the Firm’s compliance with BSA/AML and Sanctions requirements. Provide senior management (including the Head of Americas Financial Security) with detailed reports regarding the extent of the Firm’s compliance with applicable laws and regulations as well as internal policies and procedures by providing value-added comments and recommendations on remedial actions where appropriate. Also, assist in the coordination of metric reporting to management and Head Office. Participate in FS related special projects/investigations as needed.

The primary focus of this role is to:
•    Assess metrics to identify and pull relevant samples for Quality Assurance reviews
•    Conduct monthly targeted BSA/ AML, Capital Markets Market Abuse and Sanctions Quality Assurance reviews under the direction of the Head of the Financial Intelligence Unit ("FIU") in order to assess and review compliance with legal, regulatory and internal firm policy requirements in an attempt to identify, report and prevent money-laundering, terrorist financing and market abuse activity within broker dealer and bank activity.
•    Escalate potential issues and exception items noted during the review process to the Head of FIU and U.S. Financial Security Department management for discussion and further investigation if deemed necessary.
•    Prepare and distribute reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period.
•    Ensure that all findings and recommendations are entered into the Quality Assurance Reporting & Issue Tracker for tracking purposes and perform periodic follow-up of open issues to ensure proper resolution.
•    Assist in the development of the compliance QA review programs for specific business units and products based upon applicable laws, regulations and internal policies.
•    Conduct or assist with special investigations and projects as deemed necessary by U.S. Financial Security Management.
•    Assist in compliance related matters during examinations by the firm’s regulators and internal auditors.

Minimum Required Qualifications

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

  • Successful candidates will have minimum of 5 years of experience with a financial services firm and/or self-regulatory organization in a Financial Security (BSA/AML, KYC and/or Sanctions) position or within an audit/testing function of Financial Security;
  • Strong knowledge of AML/ KYC, U.S.A. PATRIOT Act, Bank Secrecy Act, AML Reform Act, OFAC / Sanctions (EU/UN/French Sanctions program knowledge a plus), U.S. securities and banking regulations, including the rules and regulations of the SEC, CFTC and all exchanges and associations under such federal agencies, including FINRA, NYSE, CBOE, ISE, CME, NYMEX and ICE US as it relates to BSA/ AML / Sanctions.
  • Strong written and oral presentation skills.
  • Self-motivated, willingness to learn and a desire to work in a challenging work environment where advise and decisions may be challenged by various levels of investigators;
  • Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.
  • Fundamental analytical and investigative skills.
  • Strong organizational skills and attention to detail a must.
  • Ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines.
  • Ability to apply knowledge of regulations to numerous types of trading activities and operational arrangements in addition to interpreting the effect of new regulations and internal procedural standards on these activities.
  • Strong computer skills including MS Office Suite – notably Excel.
  • Bachelor’s degree required; ACAMS and/or financial crime certification preferred
  • Excellent interpersonal skills and effective writing, analytical and communication skills;
  • Proficient in identifying, analyzing and escalating potential regulatory issues and emerging risks;
  • License & Registrations: Not required.

About BNP Paribas

With more than 200,000 employees in 72 countries, the Group serves nearly 32 million individual customers and 850,000 professionals, entrepreneurs, SMEs and large companies. BNP Paribas is a leading bank in the euro zone and a leading international banking player.

Did you know? In 2019, BNP Paribas named World’s Best Bank for Corporate Responsibility 2019

About BNP Paribas in Canada

With more than 900 employees, BNP Paribas Canada continues to attract experts from diverse fields as well as ambitious young talent from around the world. We are proud to offer our employees a rewarding and international workplace where they can build their professional careers by honing their skills, meeting challenges and enriching their knowledge of the financial industry.

A recruitment policy that promotes equality and diversity:

BNP Paribas is an equal opportunity employer. BNP Paribas recruits, employs, trains, compensates and promotes regardless of race, religion, color, national origin, sex, disability, age, and other protected status (Employment Equity Act).

Part of BNP Paribas dedication to diversity, multiculturalism and inclusion is clearly reflected on how we believe and live diversity and inclusion all together. As such, one of BNP Paribas’ initiatives is hosting Employee Resource Groups (ERGs) which are focused on equality of gender, sexual orientation and learning from other cultures. 

We can assist with access to job offers for people with disabilities who may be unable to use our career site - please contact us by email canada_recrutement [at] (dot) com  or by phone on 514-285-6000

Want to know more about the BNP Paribas Group?

** Only selected applications that meet the requirements of the role will be contacted **

Primary Location
Job Type
Standard / Permanent
Education Level
Bachelor Degree or equivalent (>= 3 years)
Experience Level
At least 5 years

Pourquoi je candidaterais ?

Pour quelles raisons je rejoindrais BNP Paribas et pas une autre entreprise ?

Parce que je souhaite...

  • Et si on vous disait que travailler dans notre Groupe, ce n’est pas ce que vous croyez ? Chez BNP Paribas, on exerce une multitude de métiers qui évoluent en permanence pour être en phase avec les attentes des clientes et clients comme de la société.

  • Se sentir bien dans son job, c’est avant tout venir travailler comme on est.  C’est aussi avoir les moyens d’un bon équilibre entre sa vie professionnelle et sa vie personnelle. Deux engagements majeurs pour BNP Paribas.

  • Chez BNP Paribas, le développement de vos compétences est essentiel, pour vous comme pour nous. Et cela vous servira pour toute votre vie professionnelle.

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