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Vice President– Internal Auditor, Securities Services


Standard / Permanent


US-NY-New York



Job function


Apply REF: AUD000126
About BNP Paribas:

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:

The North America Audit Hub is part of BNP Paribas’ global Internal Audit group (Inspection Générale or “IG”) which is staffed with highly qualified individuals who perform high quality risk-based reviews to provide reasonable assurance to Audit Committee and Senior Management on the adequacy of the Governance, Risk Management and Control framework and recommend corresponding improvements. Internal Audit is seeking a candidate for a Director position as a member of the Functions and Operations Audit team.


BNP Paribas Securities Services, a wholly-owned subsidiary of the BNP Paribas Group, is a leading global custodian and securities services provider backed by the strength of an integrated bank. It provides multi asset post trade and asset servicing solutions for institutional participants in the investment cycle, from the buy-side and sell-side to corporates and issuers. Covering over 100 markets, offices in 34 countries and over 8,800 employees, the BNP Paribas network is one of the most extensive in the industry. It brings together local insight and a global network to enable clients to maximize their market and investment opportunities worldwide.


The Securities Services Auditor will play a key role in supporting the internal audit team to independently assess the effectiveness of the related Governance, Risk Management and Control framework. Therefore, a strong background in both Audit and Securities Services businesses is a key requirement for this position.  The candidate will perform all customary audit activities, including the execution of audits as well as continuous risk monitoring and risk assessments, and may attend internal Securities Services committees as an observer. The candidate may also participate to audits in other areas, outside of Securities Services, based on resource availability.

  • Demonstrate an in-depth understanding of risks and controls related to Securities Services, including Compliance, Risk Management and Operations
  • Participate in large complicated, integrated audits in audit scoping, planning, evaluating and reporting. The candidate may participate to audits in other areas outside of Securities Services, based on resource availability.  Responsible for the related audit scoping, planning, evaluating reporting, and supervising. The candidate may participate to audits in other areas outside of Securities Services, based on resource availability
  • Perform risk assessments and continuous monitoring
  • Follow up on open audit and regulatory recommendations and validate proper implementation
  • Investigate large incidents and fraud cases if and when necessary
  • Keep abreast of the evolutions of Securities Services and related regulatory guidance
  • Acquire a good understanding of the audited businesses and activities by showing initiative
  • Improve professional development by keeping up-to-date with changes in financial services and products
  • Manage the audit assignments and the related risk based resource allocation
  • Employ analytical skills to analyse activities and processes using BNP Paribas Audit Methodology & Tools
  • Add value to the Business by raising relevant recommendations
  • Take ownership of the quality and reliability of the audit reports, findings and deliverables
  • Deliver clear presentations to Senior Management and Internal Audit Management
  • Participate in the recruitment, training and development of audit staff
  • Adopt and promote good ethical values

Minimum Required Qualifications: 

  • Bachelor's degree in applicable and related field (Accounting and/or Finance preferred)
  • Requires license(S) or certification(s) CIA and CPA
  • Minimum years of audit and/or risk experience in the Securities Services industry: Typically 6+
  • in a team, liaise with other bank departments and adapt to new situations and approaches

Preferred Qualifications:

  • Knowledge of financial products, capital markets, banking industry and the related risks is a plus.
  • Knowledge of operations in additional areas, like trade finance, cash management, etc.…
  • Knowledge of key banking regulations
  • Sound foundation in risk based audit approach and strong all round audit skills are highly desired.
  • Excellent oral communication skills to interact effectively with the different stakeholders and regulators.
  • Ability to work
FINRA Registrations Required: 
  • 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 York Job Type: Standard / Permanent Job: MISCELLANEOUS Education Level: Bachelor Degree or equivalent (>= 3 years) Experience Level: At least 5 years Schedule: Full-time