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Assistant Vice President - Compliance Training Specialist
BNP Paribas
New York, NY, United States
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Business Overview:
BNP Paribas (BNPP) has entered into settlement agreements with regulators for conduct and control related issues arising out of BNPP’s foreign exchange (“FX”) business. The settlements required BNPP to submit written plans to the regulators forming BNPP’s global remediation plan (“Remediation Plan”) Americas Compliance is remediating the US CIB element of "Compliance-owned" and "compliance-related" responses to the Plans through several streams:
1. Internal Controls and Compliance Program: covers enhancements, including:
a. Global Markets businesses (FX Local Markets (“FXLM”), Commodities, Rates
b. Conduct Program; and
c. Compliance and RISK
2. Compliance Risk Management Program: covering 2nd Lines of Defense or “LoD”(notably Compliance and RISK Operational Risk & Control or “RISK ORC”)
3. Controls Review: covering a review of compliance policies and procedures with an appropriate risk-focused sampling of key controls (to be performed by IG/Internal Audit
Responsibilities:
• Support the development, initiation, maintenance, and revision of policies, procedures and standards and associated training for the general operation with a special focus on execution of policy governance related items identified in the above remediation plan to prevent illegal, unethical, or improper conduct.
• Support and participate in the enhancement of processes designed to address the policy and training governance-related items identified in the remediation plan including the Policy Governance and Training Frameworks within and on behalf of US CIB which includes:
◦ Providing logistical support to monthly meetings of the Compliance Policy Oversight Group and Training Council, including but not limited to keeping and maintaining meeting minutes ;
◦ Building and maintaining processes to ensure appropriate creation, approval, implementation, maintenance, and retirement of policies and associated training;
◦ Reviewing draft policies and associated training for consistency and content;
◦ Reviewing existing policies and associated training for consistency, content, and appropriate levels of approval;
◦ Supporting the building and maintaining of a central digital policy library and associated training library;
◦ Assisting in maintaining an inventory of policies, procedures and standards and associated training to support reporting to relevant leadership committees and other personnel as required;
◦ Assisting Business Unit Policy leaders (or delegates) in implementing the Policy Governance Framework and associated training in their respective Business Units;
• Per the remediation plan, support the periodic review and recommend any appropriate revisions to BNPP’s’ Conduct of Conduct to ensure continuing currency and relevance in providing guidance to management, employees and underscore its role in driving a world class compliance culture within US CIB
• Support the collaboration with other departments and control functions (e.g., Legal, Risk Management, Internal Audit, Finance, etc.), as well as, the 1LOD to drive the Policy Governance and Training Frameworks.
• Monitor, and as necessary, coordinate compliance activities and awareness initiatives to relevant personnel to keep employees apprised of new or evolving policy or procedure changes as they relate to, among other things, the issues identified in the remediation plan.
• Support the leveraging of the Policy Governance and Training Frameworks to identify potential areas of compliance vulnerability and risk as they relate to the issues included in the Remediation Plan.
• Support the generation of reports on a regular basis, and as directed or requested, to keep CUSO/IHC Compliance and its leadership and other key stakeholders informed of the operation and progress of the Policy and Training Governance Frameworks.
• Liaise with the Firm’s Global Compliance team to ensure consistency and share best practices.
• Liaise and support BNP Paribas’ two Academies (Risk Academy and Management Academy) designed to strengthen corporate culture and managerial performance, in driving awareness of new policies and associated training.
• Complete other tasks and responsibilities necessary to advance the overall mission of Compliance.
Minimum Required Qualifications:
• BA/BS required
• 3 to 5 plus years compliance, regulatory or other applicable experience
• Excellent communication skills, both written and oral
• Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results in a matrixed environment.
• Strong analytical and creative problem solving skills; ability to generate creative alternatives to identified issues
• Strong relationship building skills; ability to develop and foster trust-based relationships with the various business lines supported; ability to influence at all levels without direct authority
• Ability to handle highly confidential and sensitive information
• Team player willing to accept challenges large and small and meet them under time pressure.
Preferred Qualifications:
• Proficiency in MS Word, MS Excel and MS PowerPoint
• Ability to prioritize projects and strong problem solving skills
• Self-motivated, driven and committed to execution.
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.
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