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Assistant Vice President - CIB Compliance Review Examiner


Standard / Permanent


US-New York

Job function




BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 74 countries, with more than 192,000 employees, including more than 146,000 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 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.

Business Overview:

Demonstrate the firm’s commitment to compliance by maintaining a compliance review program that evaluates the firm’s compliance with applicable laws and regulations and discloses violations and control weaknesses.  Conduct compliance reviews of the various front office business areas, operations and branches and provide senior management with detailed reports regarding the extent of the firm’s compliance with applicable laws and regulations along with value-added comments and recommendations where appropriate. Also, assist in the firm’s various certification processes, coordinate reporting of compliance metrics to the US Intermediate Holding Company and Head Office and participate in special projects/investigations as needed.

  • Assist in developing compliance review programs for specific business units, operations functions and products based upon applicable laws, regulations and internal policies.
  • Conduct compliance reviews under the direction of the Team Lead within Compliance Independent Testing & Risk Assessments (CITRA) in order to assess and review compliance with legal, regulatory and internal firm policy requirements.
  • Conduct testing of key risk controls of the first and second lines of defense.  
  • Escalate potential issues and exception items noted during the review process to the Team Lead and Head of CITRA for discussion and further investigation if deemed necessary.
  • Prepare and distribute reports to senior management detailing review findings and recommendations.  Periodically report on significant activities conducted and planned for the upcoming period.
  • Ensure that all findings and recommendations are entered into the Reporting & Issue Tracking Application (Aurora) database for tracking purposes and perform periodic follow-up of open issues to ensure proper resolution.
  • Conduct ad-hoc test work of various rules and regulations in conjunction with the annual CEO/CCO Certifications.
  • Conduct or assist with special investigations and projects as deemed necessary by senior Compliance and business management.
Responsibilities Cont’d:
  • Assist in compliance related matters during examinations by the Firm’s regulators and internal auditors.

Minimum Required Qualifications:

The desired skills for this position include:
  • 5 to 7 years of experience with a financial services firm and/or self-regulatory organization in a compliance or regulatory related position.
  • BA or BS Degree a must. 
  • Strong knowledge of U.S. securities, commodities, and banking regulations, including the rules and regulations of the SEC, CFTC and all exchanges and associations under such federal agencies, including FINRA, NYSE, CBOE, ISE, CME, NYMEX and ICE US.  Such knowledge should also include swap dealer and Volcker Rule requirements.
  • Strong ability to apply knowledge of rules and regulations to numerous types of trading activities and operational arrangements in addition to interpreting the effect of new regulations on these activities.
  • Strong computer skills including MS Office Suite – Word, Excel, Powerpoint, Access.
  • Strong organizational and project management skills and attention to detail.
  • Strong writing, analytical and investigative skills.
  • Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.
  • Excellent execution skills with the ability to work successfully under demanding deadlines, manage multiple reviews and projects at the same time and in a change management environment.
  • Problem solving and root cause identification skills.
  • Acute business acumen and understanding of organizational issues and challenges.
  • Team player and ability to work collaboratively across the platform.

Preferred Qualifications:

  • Graduate Degree a plus. 

FINRA Registrations Required:

  • Securities licenses preferred (Series 3,4,7,9/10,24)

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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