The bank for a changing world

We are looking for

Associate, Global Markets Americas Front Office Review of Conduct Effectiveness


Standard / Permanent


US-NY-New York

Job function




Business Overview:

Global Markets is BNP Paribas’ capital markets business within the Corporate & Institutional Bank (CIB), delivering solutions across asset classes, and industry-leading services for clients including Institutional, corporates, private banks and retail distribution networks.

Global Markets encompasses seven global business lines; G10 Rates, Equity Derivatives, Forex & Local Markets, Commodity Derivatives, Credit, Prime Solutions & Financing and Primary Markets, helping their franchise of clients find effective ways to raise and invest capital as well as manage their exposure to risk.

Global Markets is made up of over 3,700 staff globally based in EMEA, the Americas and Asia Pacific, with the main trading floors located in London, Hong Kong, New York, Paris, Singapore and Tokyo. 

In response to regulatory requirements, BNP Paribas is establishing a Global Markets Front Office Review of Conduct Effectiveness (FORCE) function under Strategy & Risk, as part of Global Markets Front Office within the first Line of Defense (“1LOD”).

This newly created function shall be mandated to design, assess and measure effectiveness of the first level of defense framework, and ensure that Front Office supervisory controls are being performed in an effective manner.

First line of Defense (“1LOD”) controls are in place to address and mitigate operational, regulatory and conduct risks. These controls are identified within various risk assessment processes, and other reports. The FORCE team will perform testing and continuous improvement analyses across these areas on risk-based basis.

Key responsibilities of the FORCE Associate are:

o Assist in testing, challenging & measurement of controls’ effectiveness/efficacy based on the defined methodology

o Maintain the GMA control database consisting of identified control deficiencies/ loopholes as well as identified improvement opportunities on control design

o Monitor and track control enhancement plans

o Assist with the production of KPI/KRIs matrix for reporting and escalation purposes

o Maintain FORCE Americas project roadmaps, planning artifacts and presentations

o Assist the FORCE team with any thematic deep dive investigations

Minimum Qualifications:

o 1-3 years of Financial Services work experience. Excellent academic record

o Excellent organizational, project management and presentation-development skills

o Ability to work with large data sets and to integrate data across activities and topics. Must be comfortable working with systems, excel, and other IT tools.

o Knowledge of Capital Markets Conduct landscape. Relevant areas of experience could include Business Management, Compliance, Finance and Audit

o Ability to interact with staff, Management and Functions at all levels

o Ability to work as part of a team but will also be expected to prove autonomy, determination and capacity for initiative to achieve objectives set by management

o Collaborates and shares information and solutions with colleagues, with other teams and stakeholders

o Excellent communication skills (written & spoken)

Preferred Qualifications:

o Capital Markets product knowledge

o Demonstration of an awareness of capital markets regulations

o Previous experience in a similar control function in Finance Industry

FINRA Registrations Required: 

Give us your feedback Complete our survey