We are looking for

Assistant Vice President - U.S. FICC Compliance Advisory

Apply REF: COM002118

About BNP Paribas:

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.


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


The FICC Compliance Advisor provides guidance to the Fixed Income (G10 Rates and Primary and Credit Markets), as well as other support teams (Operations, etc.) as relevant and appropriate.

The primary focus of this role is to:

50% - G10 Rates

  • GSE Program administration (updating policies and procedures, annual agreements / certifications, coordinating with internal audit in their annual review)
  • Primary Dealer Program Administration including:
    • UST Auctions (including coordinating w/ internal audit for their annual review)
    • Geographic Dispersion (UST and FRB Open Market Activities)
    • All Procedures / Policies maintain
    • Annual CIT Review
  • TRACE Reporting
    • On-going monitoring of reporting/ training
    • Regulatory Inquiries
    • TRACE Opco

(The above will be the priority for this hire; additional projects w/ G10 Rates can be added when these items are mastered and sufficiently covered.)

50% Transversal

  • Provide compliance advisory coverage to assigned function/business units including guidance on rules/regulations pertaining to regulatory requirements, internal policies/procedures for day to day activities.  Supporting these functions/business units in providing timely decisions and ongoing advice on new transactions or new activities.
  • Keeping current on relevant changes to rules/regulations and other industry developments.
  • Acting as liaison with other firm functions (Legal, Operations, Audit, e.g.,) as well as other Compliance coverage areas (e.g., Domains, Registration, Conflicts management office, Control Room), as necessary depending on issues, as well as with other Compliance areas (Control Room, Independent Testing, Registration, etc.)
  • Work on regulatory inquiries and draft responses and identify / gather necessary required documentation.
  • Assisting/participating in any compliance training rolled out to selected business units/including new hire training.
  • Assisting/participating in the update/renewal of internal policies/procedures. (e.g., Suitability, WSPs)
  • Assisting/participating in the roll out/implementation of any new regulatory requirements as necessary.

Minimum Required Qualifications

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily.  The requirements listed below are representative of the knowledge, skill, and/or ability required.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

  • Successful candidates will have 5-7 years of experience with a financial services firm and/or self-regulatory organization in a compliance or compliance-related position;
  • Bachelor’s degree required;
  • Self-motivated, willingness to learn and a desire to work in a challenging work environment where advise and decisions will be challenged by various levels of management;
  • Detail oriented, organized and team focused
  • Ability to navigate different ad hoc issues and multi-task as necessary, depending on business needs
  • Excellent writing, verbal and analytical skills
  • Ability to liaise effectively with other Group functions and Compliance areas and escalate issues as necessary
  • Strong communication and interpersonal skills

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: COMPLIANCEEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 5 yearsSchedule: Full-time Reference: COM002118