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Managing Director – Head of Professional Practices


Standard / Permanent


US-NY-New York

Job function




Business overview:
Intermediate Holding Company (IHC) Audit Committee, as well as, all other relevant governance bodies, on all BNP Paribas activities, including USA and Canada. Professional Practices Director (located in New York), under the direct supervision of the Head of Professional Practices (PP), is responsible for supporting the Head of Professional Practices and all field audit teams in a broad range of areas including Policies & Procedures,  Regulatory matters, Management Reporting, Training and Tools. 1 2
As one of the direct reports to the General Auditor for  BNP Paribas North America (Wholesale activities) and BNP Paribas USA, Inc. (aka Intermediate Holding Company, “IHC”), the Head of Professional Practices will act as the steward of the Internal Audit department’s Tools & Methodologies, Policies & Standards, Training & Quality Assurance, Reporting and Communication.  The Head of Professional Practices is also  the primary liaison with BNP Group Inspection Generale for corresponding matters and with U.S. Regulators to represent the Internal Audit function.
The Candidate will also develop and implement a new U.S. Target Operating Model for Professional Practices across the U.S. (including IHC/Wholesale and Retail), aiming at adapting to the new framework implemented by the Bank. The objectives will include the alignment of all areas under the responsibility of both audit hubs (Wholesale & Retail) Professional Practices departments, including the synchronization of the audit universe and the audit planning process as well as the organization of the two Professional Practices teams so as to foster synergies and harmonize practices between the two hubs. The Candidate will define the mandate of the new target operating model in cooperation with the Banc West (Retail) audit hub.
Primary responsibilities include but are not limited to:
  • Develops and inserts effective policies and procedures:  
    • Ensures that Internal Audit methodologies, tools and practices comply with the Institute of Internal Audit standards, meet regulatory requirements/expectations (e.g. FRB SR 13 -1), and align with BNP Paribas Internal Audit standards.
  • Uses quality assurance as an effective management tool:
    • Ensures performance of independent and objective evaluations of the adequacy, effectiveness and efficiency of the Internal Audit function with its own standards and with Bank’s policies. Identifies improvement opportunities.
  • Combines project management skills and thorough understanding of audit fundamentals:
    • Lead change across the Internal Audit function. Develop and insert new processes in all areas of audit activities (audit universe, audit coverage, audit cycle, continuous monitoring, risk assessment, audit planning, audit scoping, results aggregation, thematic controls).
  • Coordinates reporting from the Internal Audit function:
    • Prepares concise and timely reporting to Regulators, Audit Committee, General Auditor and audit staff on Internal Audit plans and results, objectives and achievements. Prepares budget and controls expenses across the Internal Audit function.
  • Supports and develop the Internal Audit staff: 
    • Maximizes operational efficiency throughout the Internal Audit function with robust onboarding, training, dynamic hiring strategies, talent development, process streamlining, effective data analytics and IT support.
  • Communicates effectively:
    • Demonstrates clear, concise and accurate, written and verbal communications, with Executive Management, Regulators, Audit Committee and internal staff.
  • Inserts heightened expectations in a timely manner: 
    • Identifies industry best practices.
  • Participates in various committees as assigned to provide reports and information on current/emerging business issues to top management.
  • Manages, directs, trains, mentors, and evaluates assigned staff.  Ensures adequate staffing.
  • Maintains effective and professional relationship with bank senior management, audit clients, and managers.
  • Maintains professional relationships with staff of the bank's public accountants; representatives of federal and state regulatory agencies; and others dealt within a professional capacity.

Year One Critical Success Factors:

  • Successfully build credibility through internal partnerships and deliver tangible value in the various areas of responsibility.
  • Understand Internal Audit priorities and become a key point of contact for the Bank’s regulators in their on-going assessment of the Internal Audit function robustness.

Minimum Required Qualifications:

  • Bachelor’s Degree in Business Administration or related field Required
  • 10 + years of Internal Audit and/or other relevant third line of risk defense roles. 
    • Proven track record of field auditing coupled with experience across data/analytics, methodology/process and quality assurance.
    • 5 - 10+ years in a leadership role.
  • Business partnership is a hallmark of this person’s DNA. 
    • S/he should create a healthy, balanced and independent tension between the 2nd line of defense and P/L groups. 
    • This person will be transformational and resourceful in how s/he integrates into the organization, leveraging tools, methodologies and resources to effectively navigate to success.
  • Polished verbal and written communication skills.
  • Experience within a highly matrixed, collaborative environment is essential.
  • Ability to effectively advise and communicate with executive leadership, manage change and inspire business partners to embrace change.
  • Strong strategic thinking skills
  • Displays high intellectual capacity, sound professional judgment and discretion to lead in complex, changing and ambiguous environments.
  • Communicates effectively with diverse groups and individuals - clearly conveys information and ideas and listens and responds appropriately to customer needs, external vendors and individuals throughout the Bank including senior and executive management.
  • Develops open, considerate, effective and productive working relationships with customers, external contacts, and individuals throughout Bank of the West.
  • Displays advanced decision making and analysis skills - draws information and broad knowledge to make timely and logical decisions that provide practical solutions.
  • Adaptability - responds appropriately and competently to the demands of work challenges when confronted with changes, ambiguity, adversity, and other pressures.
  • Strong business acumen and problem solving ability.
  • Personal Ownership - Assumes responsibility for effectively meeting objectives, motivates self to get the job done, performs job duties in an organized, accurate and productive fashion, seeks out and is open to knowledge, ideas and feedback to improve effectiveness, and holds self-accountable for following policies, guidelines, and procedures.
  • Technology savvy – understand and use Bank of the West software, hardware and technology.
Preferred Qualifications:
  • Master’s Degree
  • Highly preferred license(s) or certification(s): CIA, CISA, and CPA.
FINRA License/Registration:
  • Not Applicable
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