Assistant Vice President- Surveillance Compliance Officer

Business Overview:

The Americas Market Integrity (MI) Domain is a part of the Ethics and Compliance Department that provides transversal support to all the business functions performed in the US, Canada, and Latin America. Market Integrity centers on the idea that markets, which are corrupt and inefficient, are unattractive to investors. Regulators, law enforcement, exchanges, financial institutions, and investors all rely on the orderly operation of financial markets to provide a foundation of economic growth and efficient access to capital. The violation of these principles can cause severe disruptions in investor confidence and ultimately threaten the stability of the financial system. Trade Surveillance is one of the key pillars of the Market Integrity Domain.

Candidate SuccessFactors:

Candidates are measured on the following four performance drivers, which will dictate how individual impact is considered on the Americas platform:

• Results and Impact
  • Able to influence peers and team.
  • Demonstrates good judgement when making decisions of high complexity and impact.
  • Exercise appropriate autonomy in the execution and delivery of work. 
  • Responsible for driving outcomes, which have meaningful effect on team or department.
• Leadership and Collaboration:
  • Creates trust with colleagues.
  • Acts in leadership capacity for projects, processes, or programs.
• Client, Customer and Stakeholder Focus: 
  • Able to build relationships with a mix of colleagues and clients.
  • Interacts regularly with management and department leaders.
  • Demonstrates the ability to influence stakeholders at the team level. 
• Compliance Culture and Conduct: 
  • Takes full responsibility for personal actions and demonstrates courage in facing problems and conflicts.
  • Perceived as a person of high moral character; upholds corporate values and displays high ethical standards.

Responsibilities: 

The Trade Surveillance Investigator will be responsible for performing risk analysis through the utilization of proprietary and third-party surveillance applications to detect possible market manipulation activity to safeguard the firm from any potential regulatory, reputational and/or financial risk. Must be able to work both independently and as an integral part of the surveillance team. As a subject matter expert, the investigator should have an understanding of various financial products such including Equities, Equity Derivatives, Commodities, Fixed Income and Forex.  Key responsibilities germane to this position include:

• Conduct investigations of escalated trading alerts from a qualitative and timeliness perspective.   
• Escalate potential issues and risk concerns detected during the course of surveillance.
• Prepares and presents written information in a clear, concise, and convincing manner. 
• Ability to organize, analyze and interpret large amounts of data.  
• Prepare and distribute reports and presentation materials to management, identifying and detailing risk concerns.   
• Perform Quality Assurance and Remediation reviews.  
• Exhibit a willingness to take on ad hoc projects and tasks above and beyond the normal scope of responsibility.  
• Demonstrate the ability to independently lead and drive projects.        
• Identify, facilitate, and implement process improvement ideas to promote efficiency.
• Respond timely to internal or external requests for information and/or analysis.
• Achieve objectives within tight time constraints while balancing competing priorities.

Minimum Required Qualifications:

• Two to five years of experience with a financial services firm and/or self-regulatory organization in a Trading, Compliance or Regulatory related position.  
• Exposure to trading desks, capital markets and the securities industry.  
• Knowledge of US securities, commodities, and banking regulations, including the rules and regulations of the SEC, CFTC and exchanges and associations under such federal agencies, including FINRA, NYSE, CBOE, ISE, CME, NYMEX and ICE US.  
• Attention to detail and the ability to manage multiple undertakings at the same time and with different level of granularity, constantly keeping focus on priorities.        
• Transversal Competency:  
  • Analytical ability to manage a project, Ability to develop and adapt a process.
• Behavioral Competency:  
  • Personal Impact / Ability to influence, Attention to detail / Rigor, Critical thinking, Adaptability, Active listening, Organizational skills.
• Bachelor’s Degree required, Master’s degree a plus.

Preferred Qualifications: 

• Product knowledge in:  Equities, Equity Derivatives, Commodities, Fixed Income and Forex.  
• Proficiency with SMARTS/NTS, Actimize, Excel and PowerPoint.  
• Strong writing and analytical skills.
• Previous Trade Surveillance experience a plus.  
• Prior Trading background and/or trade flow experience a plus.  
• Audit background a plus.  
• FINRA securities licenses and other related professional certifications a plus (e.g., Series 3, 7, 57, 63, etc.).  

FINRA Registrations Required:  

• Not Applicable 

CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required): 

• Not Applicable 

SECSecurity-Based Swap Dealer Associated Person:

• Not Applicable 

The expected starting salary range for this position is between $85,000 to $115,000 annually. The actual salary may vary based upon several factors including, but not limited to, relevant skills/experience, time in role, base salary of internal peers, prior performance, business line, and geographic/office location.

In addition, our comprehensive benefits package aims to support our employees in various aspects of their lives. From healthcare and wellness programs to retirement plans and childcare services, we prioritize the well-being and growth of our employees. Our benefits include medical, dental and vision coverage, a 401(k) Savings Plan, backup childcare, life, accident and disability insurance, mental health support and paid time off. Additional details about our benefits offerings, inclusive of eligibility for a discretionary bonus, will be provided during the hiring process.

This application will remain open until a candidate has been selected for the role. There is no specific application timeline.

About BNP Paribas:

BNP Paribas is a leading bank in Europe with an international reach across the US, EMEA and APAC. It has a presence in 65countries, with nearly 190,000 employees. The bank employs over 3,500 people in offices in the US across 10 states including New York, Jersey City, Chesterbrook, PA, San Francisco, Boston, Chicago, Denver, Miami, and Washington, DC. BNP Paribas has built a strong and diversified presence to support its client base. We continue to grow and strengthen our commitment to the US market through our Corporate& Institutional Banking activities. We are one of a few non-US banks to offer a full value chain for our clients, from trading to financing, and clearing and custody in the US with the international footprint and capacity to deliver both globally and locally. Leveraging the strength of our European roots, our network can support clients in virtually every region of the world, enabling more connectivity and efficiency wherever our clients conduct business. We take pride in our expertise and our ability to adapt while constantly looking ahead to create a more sustainable world.

As an international company with a global footprint, the unique cultures and viewpoints of our team members are an integral part of the fabric of BNP Paribas. We are a company with a purpose -to be a responsible and sustainable global leader. We aim to create an environment where our employees feel empowered to drive change, make an impact and be true to themselves. We employ talented individuals from a wide variety of backgrounds, locally and globally, and are inspired by our employees who help us in cultivating a diverse, equitable and inclusive workplace through initiatives such as our Diversity, Equity & Inclusion (DEI) Leadership Forum and Employee Resource Group (ERG) communities. We strive to be a workplace where all team members can grow and thrive and offer robust training, development, and mentoring opportunities to make that vision a reality. Our leaders are deeply committed to DEI and highly accessible to our employees, consistently soliciting feedback on how we can continue to support our employees to reach their highest potential. 

BNP Paribas. The Bank for a Changing World – https://usa.bnpparibas/en/homepage/join-us/our-opportunities/