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Vice President - Quality Assurance Review of Conduct Risk Audits

Horaires Temps plein
Métier Risques
Marque BNP Paribas Corporate & Institutional Banking
Niveau d'expérience 3 à 5 ans
Niveau d'études Niveau BAC+2/3
Postuler REF: INS000274

Business overview:

Inspection Générale North America (IGNA) Hub is part of BNP Paribas’ global Internal Audit group (Inspection Générale or “IG”) which is staffed by highly qualified individuals who perform risk-based reviews to provide reasonable assurance to senior management on the adequacy of internal controls and recommend control and efficiency improvements.

In line with the regulatory expectations, IGNA is building a team of Quality Assurance professionals to perform reviews of Conduct Risk audits applicable to Designated Market Activities on US and worldwide audit assignments.

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:

The Quality Assurance professional will perform internal Quality Assurance reviews across BNP Paribas worldwide footprint on assignments which provide audit coverage of Conduct risk in Designated Market Activities. The Quality Assurance Review team will play a key role in providing reasonable assurance to stakeholders of internal audit activity on conduct risk audits applicable to Designated Market Activities. 

A strong background in market activities auditing, conduct risk management, compliance risk management, or consulting for Financial Services is a key requirement for this position. 

Specific Responsibilities include:

  • Perform quality assurance reviews to assess accurate and consistent adherence to IG’s Conduct Audit Methodology (including Audit Guides and Risk & Control Matrices for Capital Markets activities), Central IG’s Global Audit Guidelines (How To), IIA Standards, and IG Policies and Procedures.
  • Determine if audits identify and assess risks and controls that adequately address the business environment.
  • Evaluate if audits clearly identify relevant laws and regulations covered.
  • Review audit related documentation, including Work Program Memos, audit workpapers, and audit reports.
  • Write quality assurance review reports, including compliant and non-compliant attributes.
  • Identify improvement opportunities, offer specific recommendations, and provide feedback to the audit teams (collectively and/or individually) to improve their performance and execution of audits.
  • Monitor the quality of audit execution and documentation across audit teams and regions.
  • Maintain and update quality assurance templates on a regular basis, to reflect feedback from stakeholders or to incorporate new/changed regulatory expectations.
  • Keep abreast of the evolution of auditing standards and key regulations covering designated market activities and conduct and compliance risk management.
  • Develop and maintain relationships with other Quality Assurance professionals, the Conduct Audit Methodology Specialists, and other stakeholders as part of the conduct audit activities.
  • Deliver clear presentations to Senior Management and IG Management.
  • Adopt and promote strong ethical values.

Minimum Qualifications:

  • Bachelor's degree in applicable and related field (Accounting and/or Finance preferred).
  • Minimum of three to six years of audit and/or risk experience with conduct risk management or market activities in the banking industry.
  • Strong understanding of conduct risk management concepts and related regulatory expectations.
  • Strong understanding of the relevant risks and controls in market activities areas such as Trading, Origination, Distribution, Sales, Order Management and Trade Execution, Risk Management, and Operations.
  • Excellent verbal and written communication skills to interact effectively with the different stakeholders and regulators.
  • Ability to work in a team, liaise with other bank departments and adapt to new situations and approaches.

Preferred

 

Qualifications:

  • Master’s degree.
  • Relevant licenses and certifications.
  • Experience is Banking Risk Management improvement or remediation projects. 
  • Strong knowledge of financial products, capital markets, banking industry and the related risks.
  • Direct auditing experience in one or more of the following areas: Capital Markets, Equity/Fixed Income, Sales and Trading, Derivatives/Futures.

FINRA Registrations Required:

 
  • Not Applicable

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

  • Not Applicable

SEC Security-Based Swap Dealer Associated Person:

  • Not Applicable

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-NY-New YorkJob Type: Standard / PermanentJob: MISCELLANEOUSEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 5 yearsSchedule: Full-time Reference: INS000274