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Senior Registrations Compliance Officer

Horaires Temps plein
Marque BNP Paribas Personal Finance
Niveau d'expérience 6 à 10 ans
Niveau d'études Niveau BAC+2/3
Postuler REF: COMP-101920-001-LL

BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 72 countries, with more than 202,600 employees, of which almost 155,000 in Europe. The Group has key positions in its three main activities: Domestic Markets and International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises: corporate clients and institutional investors. The Group 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. 

In Europe, the Group has four domestic markets (Belgium, France, Italy and Luxembourg) and BNP Paribas Personal Finance is the European leader in consumer lending.

BNP Paribas is rolling out its integrated retail-banking model in Mediterranean countries, in Turkey, in Eastern Europe and a large network in the western part of the United States. In its Corporate & Institutional Banking and International Financial Services activities, BNP Paribas also enjoys top positions in Europe, a strong presence in the Americas as well as a solid and fast-growing business in Asia-Pacific. www.cib.bnpparibas.com

Business Overview:

The Registrations Compliance team supports BNP Paribas Securities Corp. (U.S. SEC/FINRA registered broker-dealer; NFA/CFTC registered futures commission merchant/swap firm; holds memberships with various principal U.S./Non-U.S. exchanges/regulators) and its registered personnel from a licensing and registration perspective. In addition, the team supports BNP Paribas’ (CFTC registered swap dealer) from an entity perspective and registration of its principals. The team collaborates closely across all business lines to ensure the firm and its registered employees are satisfying their regulatory obligations.

Candidate Success Factors:

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

  • Results and Impact
  • Leadership and Collaboration
  • Client, Customer and Stakeholder Focus
  • Compliance Culture and Conduct

Responsibilities:

Registrations Compliance is responsible for maintaining accurate and complete FINRA and CFTC/NFA registration for Registered Representatives of BNP Paribas Securities Corp and the swap dealer(s). In addition, ensuring the appropriate corporate filings and reporting obligations are timely satisfied.

  • Provide advice/guidance on registrations/licensing requirements, processes and procedures
  • Timely process Form U4, U5, 8R and 8T.  Ensure that all new employees joining the firm in a position which requires securities/futures license(s) are adequately licensed or pass the appropriate exams. 
  • Maintain CRD and NFA account to cover registration fees, fingerprint card fees, exam fees, etc.   
  • Prepare waiver/exemption letters for qualified representatives as needed. 
  • Coordinate/process Form BD/Form 7R filings/amendments on behalf of broker dealers/FCMs/swap dealer.
  • Track/monitor pending exams for employees required to be licensed.  Update and distribute list to senior management, supervisors, business management & compliance advisory on a monthly basis.
  • Ability to navigate FINRA Gateway/Web CRD, NFA ORS, Winjammer Electronic Filing System
  • Partner with the various departments on initiatives, projects, policy, procedure development and issue resolution to mitigate risk.
  • Develop/enhance policies, procedures and processes to comply with the regulations - SEC, CFTC, FINRA, NFA, state jurisdictions and other Self-Regulatory Organizations
  • Participate in industry working groups/organizations (e.g. SIFMA, Association of Registration Mgt), attend networking events and conferences leveraging information to drive optimal issue resolution

Continuing Education:

Responsible for notifying registered representatives of their regulatory element continuing education requirement.  Maintain log of registered representatives’ completion and send reminder notifications to reg. rep., supervisors and compliance officers when approaching deadline. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance.

  • Notify all representatives registered as Associated Persons/Swap APs on behalf of BNP Paribas Securities Corp. with the National Futures Association of their ethics training requirements.
  • Coordinate with vendor to have ethics training material disbursed.  Monitor completion and swiftly escalate overdue requirements.
  • Work closely with Americas Compliance Training team to identify registered employees who are required to satisfy Firm Element training requirements.

Regulatory Reporting/Filings:

Play a key role in managing/processing filings in accordance with FINRA, NFA and CFTC rules/regulations. Notify the appropriate departments when regulatory filings are required/due. Work closely with supervisors, business management, Ethics & Compliance, Legal and HR to gather required information/documents for filings with regulators.  

  • Coordinate/submit FINRA 4530 filings; certain CFTC 1.12 filings; quarterly swap dealer Risk Exposure Reports; swap dealer/FCM annual CCO reports; NFA 4S filings

Qualifications:

  • BA or BS required.
  • Minimum of 10 years of compliance experience with a broker dealer/financial services firm in a similar role.
  • Excellent execution skills with the ability to work successfully under demanding deadlines, manage multiple tasks and projects at the same time and in a change management environment.
  • Strong organizational and project management skills and attention to detail.
  • Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.
  • Team player and ability to work collaboratively across the platform.
  • Strong knowledge of US registration rules and regulations, especially those of the SEC, FINRA, CFTC/NFA and U.S. state jurisdictions.
  • Ability to understand implications of new regulations and to apply regulations to varying “real world” situations. 

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: CA-QC-MontréalJob Type: Standard / PermanentJob: COMPLIANCEEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 10 yearsSchedule: Full-time Reference: COMP-101920-001-LL