Business Overview:
This is the role with in CMI (Capital Market Initiatives) team as part of CCCO (Chief Conduct & Control Office) within ITO (Information Technology & Operations) organization broadly within CIB AMER (Corporate & Institutional Banking for Americas).
The US/Americas ITO CCCO department covers the following areas: information security, operational resilience, IT and Cyber GRC (Governance, Risk and Controls) and ITO CDO (Chief Data Office). The goal of ITO CDO team is to ensure:
- Data and controls across IT applications within CIB.
- Record retention data policies and procedures.
- Regulatory changes have been implemented within IT Platforms.
The CMI team is responsible for driving projects, ensuring controls, and providing governance for transaction regulatory reporting with in CIB for registered swap-dealer & broker-dealer entities.
Candidate Success Factors:
Candidates are measured on the following four performance drivers, which will dictate how individual impact is considered on the Americas platform:
- Results and Impact
- Able to influence peers and team.
- Demonstrates good judgement when making decisions of high complexity and impact.
- Exercise appropriate autonomy in the execution and delivery of work.
- Responsible for driving outcomes, which have meaningful effect on team or department.
- Leadership and Collaboration:
- Creates trust with colleagues.
- Acts in leadership capacity for projects, processes, or programs.
- Client, Customer and Stakeholder Focus:
- Able to build relationships with a mix of colleagues and clients.
- Interacts regularly with management and department leaders.
- Demonstrates the ability to 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.
About the job:
The CMI team is looking to reinforce the team with a Vice President, reporting to the ITO Chief Data Officer.
The Regulatory Reporting Office is responsible for ensuring compliance with relevant FINRA & SEC regulations and standards related to AMER reportings including broker-dealer reporting like CAT, TRACE, LOPR, TRF. This role involves collaboration with various departments to gather data, analyze reporting requirements, and implement best practices in regulatory reporting.
Responsibilities:
- Regulatory Reporting
- Ensure proper control around timely submission and accurate regulatory reports to governing bodies.
- Ensure compliance with the Bank’s regulations.
- Data Analysis
- Analyze any reporting gaps or issues identified by operational teams.
- Define and implement KPI’s for regulatory reporting and present to internal governance groups.
- Collaboration
- Collaborate with Business and ITO stakeholders to best understand their operational and strategic needs.
- Communicate effectively with regulators and stakeholders regarding reporting requirements and findings.
- Documentation and Process Improvement
- Maintain thorough documentation of reporting processes and methodologies.
- Act as a point of contact for inquiries related to regulatory reports.
- Process Governance:
- Manage governance forums related to transaction reporting.
- Manage the IT BoW priority for the regulatory reporting scope with a transversal angle.
- Serve as the primary liaison between regulatory compliance, technology, front‑office, audit and senior leadership.
- Project and Change Management
- Actively participate in the delivery of major or complex regulatory reporting events or new obligations, Leading interpretation and documentation.
- Prepare reg‑tech solutions and reporting enhancements to stay ahead of compliance requirements
Minimum Required Qualifications:
- Experience: Minimum 7+ years of hands-on Broker Dealer transaction reporting experience..
- Proven track record in large financial and international banking institutions.
- Deep understanding of SEC/FINRA transactions reporting rules and related implementation frameworks.
- Comprehensive knowledge of Fixed income Securities, Listed and OTC Securities including equities and options.
- Direct exposure to front‑office data elements and regulatory workflow across multiple asset classes.
- Strong capability to synthesize complex processes, identify gaps, and devise actionable solutions.
- Exposure to multi-cultural and complex international banking organizations
- Must have exposure to data elements and process workflow in Front Office or Regulatory across asset classes.
- Proven ability to coordinate and influence cross‑functional teams without direct line authority
- Success in building high‑performing, geographically dispersed teams.
Preferred Qualifications:
- Bachelor or Master of Science in Finance, Business Administration, Business Analytics, IT or related areas.
FINRA Registrations Required:
CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required):
SEC Security-Based Swap Dealer Associated Person:
While the description above describes our ideal candidate, we encourage applicants to apply even if they do not fully meet the complete list of qualifications noted.
The expected starting salary range for this position is between $140k to $195k annually. The actual salary may vary based upon several factors including, but not limited to, relevant skills/experience, time in role, base salary of internal peers, prior performance, business line, and geographic/office location.
In addition, our comprehensive benefits package aims to support our employees in various aspects of their lives. From healthcare and wellness programs to retirement plans and childcare services, we prioritize the well-being and growth of our employees. Our benefits include medical, dental and vision coverage, a 401(k) Savings Plan, backup childcare, life, accident and disability insurance, mental health support and paid time off. Additional details about our benefits offerings, inclusive of eligibility for a discretionary bonus, will be provided during the hiring process.
About BNP Paribas:
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 employs over 3,500 people in offices in the US across 10 states including New York, Jersey City, Chesterbrook, PA, San Francisco, Boston, Chicago, Denver, Miami, and Washington, DC. 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. We take pride in our expertise and our ability to adapt while constantly looking ahead to create a more sustainable world.
As an international company with a global footprint, the unique cultures and viewpoints of our team members are an integral part of the fabric of BNP Paribas. We are a company with a purpose - to be a responsible and sustainable global leader. We aim to create an environment where our employees feel empowered to drive change, make an impact and be true to themselves. We employ talented individuals from a wide variety of backgrounds, locally and globally, and are inspired by our employees who help us in cultivating a diverse, equitable and inclusive workplace through initiatives such as our Diversity, Equity & Inclusion (DEI) Leadership Forum and Employee Resource Group (ERG) communities. We strive to be a workplace where all team members can grow and thrive and offer robust training, development, and mentoring opportunities to make that vision a reality. Our leaders are deeply committed to DEI and highly accessible to our employees, consistently soliciting feedback on how we can continue to support our employees to reach their highest potential.
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.
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