Director- Equity Capital Markets Compliance Advisor

January 26, 2024

Director- Equity Capital Markets Compliance Advisor


  • Standard / Permanent
  • US-NY-New York
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Business Overview:

We are conducting a search for an experienced Compliance Officer to cover the Equity Capital Markets (“ECM”) business for BNP Paribas in the Americas. The ECM team operates out of New York and executes transactions in all industries / geographies. In addition to underwriting equity offerings, the team also delivers advisory services for equity private placements. This role reports into the U.S. Head of Global Equities Compliance.  The Compliance Officer covering the ECM businesses will be part of a larger team responsible for compliance coverage and challenge for the firm’s Global Equities Americas activities.

The U.S. Corporate & Institutional Banking Compliance unit within BNP Paribas assists in maintaining compliance with applicable U.S. laws and regulations and firm/group policies and procedures. Under Global Equities Americas, Compliance provides advisory coverage and challenge for various businesses and products including Cash Equities, ECM, Equity Derivatives, Equity Research, Futures Execution and Clearing/OTC Clearing, Prime Services, Strategic Equity, and Structured Products.

Candidate Success Factors:

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.



The candidate will be responsible for providing compliance coverage to the Firm’s ECM business while also working closely with colleagues with primary responsibility for Sales and Trading, Compliance Control Room, Investment Banking, and Equity Research, in addition to coordinating with colleagues of foreign affiliates on cross-border initiatives/activities.

The candidate should have familiarity with U.S. securities laws, rules, and regulations pertaining to equity underwriting and private placements, including but not limited to: (1) Sections 10, 12, 13, 15, and 17 of the Securities Exchange Act of 1934 (the “Exchange Act”); (2) Section 17 of the Securities Act of 1933; (3) Regulation FD; (4) FINRA Rules 2040, 5130, 5110, 5121, 5190, 5320, and 5270; (5) Regulation M; and (6) Rule 15a-6 of the Exchange Act.  Furthermore, the candidate should have a strong working knowledge of the US equity and derivatives (overt-the-counter and listed) markets, including the relevant current and proposed industry and regulatory developments.  Moreover, the candidate should have a strong command of core Self-Regulatory Organization rules, including but not limited to, FINRA Rules 2210, 3110, 2111, and 2010.

The candidate will perform the following duties and responsibilities:

·       Provide day-to-day compliance advisory services and challenge and act as a point of contact for the front office and support businesses on questions, issues, and matters of concern.

·       Partner with the business and IT to further develop and enhance the governance structure and risk controls including, but not limited to, protocols for system development and testing. 

·       Identify regulatory trends and developments, advising business staff as to how this may affect their current activities and work with supervisors to implement any required changes to current policy / practice.  Additionally, play an advocacy role representing the Firm in industry efforts (e.g., SIFMA, FIF, etc.) as they pertain to related developments.

·       Contribute to the preparation of Compliance reports for Compliance Management, Senior Management, Executive Committees, and Risk Committees etc. as required.

·       Assist in providing advice on new business proposals, new products, new systems, and connections to new market centers.

·       Review marketing materials and communications for distribution to institutional clients.

·       Draft and update Compliance policies and procedures.

·       Participate in internal investigations, assist in responding to regulatory inquiries, and coordinate internal and external audits and inspections.

·       Perform periodic risk assessments of the business and provide regulatory/compliance training as needed.

Minimum Required Qualifications:

·       Bachelors Degree or equivalent;

·       10+ years of relevant compliance experience, preferably at a major national or global securities firm;

·       Experience in providing regulatory or compliance advice in connection with equity capital markets is essential;

·       Excellent oral and written communication skills;

·       Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment;

Preferred Qualifications:

  • Advanced degree in business, finance, or law;
  • English required, French language skills a plus;
  • Former employment with securities regulators such as SEC, FINRA, national securities exchanges, NFA, and/or CFTC.


FINRA Registrations Required: 

  • Series 7, 24, 79 preferred

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

  • Not Applicable


SEC Security-Based Swap Dealer Associated Person:

  • Not Applicable


The expected starting salary range for this position is between $189,000 to $275,000 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 65 countries, 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 –

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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