BNP Paribas RCC, Inc.
Job Title: VP – Quality Assurance Review of Conduct Risk Audits
Location: 525 Washington Boulevard, Suite 600, Jersey City, NJ 07310
Duties: Perform quality assurance reviews to assess accurate and consistent adherence to Inspection Generale’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. *Telecommuting permitted 50%: work may be performed within normal commuting distance from the BNP Paribas RCC Inc. office in Jersey City, NJ.
SALARY: $150,000 – $195,000/ year
Work Schedule: 9am to 5pm, 40 hours a week. (Monday – Friday)
Job Requirements: Bachelor's degree (U.S. or Foreign Equivalent) in Accounting, Finance, or a related field and three (3) years of experience in job offered or a related role. Must have three (3) years of experience with each of the following: Audit and/or risk experience including Conduct risk management or market activities in the banking industry; working with audit practices and applying risk management concepts and related regulatory policy statements; applying strong understanding of relevant risks and controls in market activities areas such as Trading, Origination, Distribution, Sales, Order Management and Trade Execution, Risk Management, and Operations; writing quality assurance review reports, including compliant and non-compliant attributes; developing training materials for senior internal audit professionals and delivery of trainings; and preparing periodic reporting to oversight committees. CIA certification – completed or in progress.
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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