The bank for a changing world

Vice President - Regulatory Examinations Specialist


Standard / Permanent


US-NY-New York

Job function




Business Overview:
Supervisory Affairs is one of three divisions in a rapidly expanding Public Policy and Regulatory Affairs team (“PPRA”) for BNPP’s IHC and Wholesale operations in the U.S.  BNPP sees Supervisory Affairs as a critical organizational component as BNPP moves to implement the IHC and the Enhanced Prudential Standards (including CCAR).  The objective of the Supervisory Affairs division is to ensure an organized, strategic and cohesive approach to BNPP’s bank regulators for the IHC and for its wholesale operations. Such approach must be well-grounded both in a sound understanding of BNPP’s US businesses and of regulatory processes and expectations.
The Supervisory Affairs team is expected to work closely with its sister divisions in PPRA, Corporate Governance and Strategic Regulatory Analysis and Implementation, and with executive management, business lines and control functions (including Compliance, Risk and Legal). It also liaises as necessary with the equivalent teams at BancWest.
This role is responsible for managing regulatory examinations and continuous monitoring for both banking and capital markets regulators.  This role is part of the Intermediate Holding Company regulatory team and will serve as a key contact for Risk Management and Compliance matters. Essential duties and responsibilities include:
  • Serve as the point person internally (with senior management) and externally (with the regulators) for regulatory meetings, requests and exams related to Risk Management and Compliance.
  • Notify senior management and other relevant firm personnel of upcoming examinations/continuous monitoring meetings and advise on scope/agenda and expectations.
  • Review and assure clarity of documents/information being requested.  Discuss with examiners any requests that are unclear or overbroad.
  • Facilitate the collection of, tracking of, and perform quality control over all documents submitted to exam staff before, during, and after on-site review and/or continuous monitoring meetings.
  • Schedule and attend requested/required meetings with Regulators and firm employees to ensure all regulatory needs are addressed.
  • Maintain constant contact with exam staff leader to track progress of exam(s), etc.
  • Coordinate with relevant parties within the firm to respond to findings/close-out letters.  Resolve and/or follow up with relevant parties regarding the resolution of findings resulting from regulatory examinations with a view to improve future examination results.
    • Track and input regulatory findings into the Firm’s audit tracking systems. Follow up with relevant personnel on action items required to address any findings, tracking progress until completion.
  • Provide ongoing analysis of supervisory issues related to Risk Management and Compliance.

  • BA or BS a must. 
    • JD’s and MBAs preferred.
  • 7 – 10 years of relevant industry experience, preferably in a business function, control function or regulatory relations role.
  • Excellent communication skills, including oral and written.
  • Attention to detail and strong analytical skills.
  • Project management skills, with the ability to work on multiple tasks with competing priorities at once and successfully managing all to completion.
  • A high level of detail orientation and organization.
  • Knowledge of rules, regulations and guidance for both banking and capital markets

FINRA Registrations:

  • Not Applicable



This is a great opportunity for the right person to join a strong team with solid reporting lines into a Compliance management team that promotes independence, growth, and opportunity and that takes a vested interest in achieving the upside of each team member. Our department is uniquely configured so that opportunities abound to make contributions beyond a person’s role and minimize silos with visibility into senior management.