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
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
- 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
- Conduct testing of key risk controls of the first and second lines of
- 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
- 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.
- Assist in compliance related matters during
examinations by the Firm’s regulators and internal auditors.
The desired skills for this position include:
to 7 years of experience with a financial services firm and/or self-regulatory
organization in a compliance or regulatory related position.
or BS Degree a must.
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.
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.
computer skills including MS Office Suite – Word, Excel, Powerpoint, Access.
organizational and project management skills and attention to detail.
writing, analytical and investigative skills.
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.
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.