Supervisory Relations is
one of three divisions in the Regulatory Strategy & Policy team for BNPP’s
Intermediate Holding Company (“IHC”) and Wholesale operations in the U.S. Supervisory Relations acts as a liaison with
the bank’s U.S. regulators to promote effective relationships and to ensure a
consistent, cohesive and strategic approach to interactions with supervisors. Supervisory Relations coordinates regulatory
engagements, oversees regulatory exams and reviews, and supports management in
identifying and responding to key themes in supervisory activities.
The Supervisory Relations
team works closely with other divisions within Regulatory Strategy &
Policy, and with executive management, business lines, and control functions (including
Compliance, Finance, Risk and Legal). The
team also coordinates as necessary with teams at Bank of the West.
BNPP is seeking a proactive and resourceful
Regulatory Examinations & Inquiries Specialist to join the Supervisory
Relations team. This role is responsible for supporting the management
of regulatory examinations, inquiries and continuous monitoring for capital
markets regulators. Essential duties and responsibilities include:
- Assist in maintaining a centralized
repository of regulatory inquiries, responses, and supporting documents in
an organized manner.
- Serve as the alternate point person
internally (with senior management) and externally (with the regulators)
on regulatory matters (regulatory meetings, requests and exams)
- Understand the
internal and regulatory context of incoming and outgoing requests (exam or
inquiry) to adequately support the clear communication between BNPP and
- Notify senior management and other
relevant firm personnel of upcoming examinations/inquiries/continuous monitoring
meetings and advise on scope/agenda and expectations.
- Notify the respective compliance advisors
of significant inquiries that pertain to their area.
- Work with various departments that could
assist in providing applicable documents or information as requested by the
- Work closely with regulators during the
life of the inquiry.
- Escalates potential issues and exception
items noted during the regulatory exam/inquiry handling process to SRG
manager for discussion and further investigation if deemed necessary.
- Assist in compiling data for weekly
regulatory exam/inquiry reports.
- Assist with special projects as deemed
necessary by management.
- Review and assure clarity of
documents/information being requested.
Discuss with examiners any requests that are unclear or lack
- Facilitate the collection of, tracking
of, and perform quality control over all documents submitted to exam staff
before, during, and after on-site review and/or continuous monitoring
- Communicate key messages and
potential findings internally to assist management in preparing for close
out meetings and formal BNPP close out response letters.
- Schedule and attend meetings
with Regulators and firm employees to ensure all regulatory needs are
addressed in a timely, clear and efficient manner
- Coordinate with relevant parties within
the firm to respond to findings/close-out letters. Resolve and/or follow up with relevant
parties regarding the resolution of findings resulting from regulatory
examinations with a view to improve future examination results.
and input regulatory findings into the Firm’s audit tracking systems.
Follow up with relevant personnel on action items required to address any
findings, tracking progress until completion.
Minimum Required Qualifications
- BA or BS a
- 1 – 3 years of
relevant industry experience, preferably in a business function, control
function or regulatory relations role.
communication skills, including oral and written.
- Attention to detail
and strong analytical skills.
- Project management
skills, with the ability to work on multiple tasks with competing
priorities at once and successfully managing all to completion.
- A high level of
detail orientation and organization.
- Strong computer
skills including Microsoft Office.
- Knowledge of rules,
regulations and guidance for both banking and capital markets
FINRA Registrations Required:
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 1 yearSchedule: Full-time
Behavioural competency: Attention to detail / rigorTransversal competency: Analytical Ability