Director- Capital Markets Compliance Advisor

We are conducting a search for an experienced Compliance Officer to cover the Capital Markets business for BNP Paribas in the Americas. The business operates out of New York and executes transactions in all industries / geographies across multiple legal entities, including BNPP New York Branch and BNP Paribas Securities Corp, a US registered broker dealer and FINRA member. The business team delivers advisory services for the Capital Markets Investment Banking products including, but not limited to, Investment Grade Finance, Leveraged Finance, Asset Finance, Securitization, and Syndication. This role reports into the Head of Global Banking Americas Compliance. The Compliance Advisor covering the Capital Markets businesses will be part of a larger team responsible for compliance coverage and challenge for the firm's Global Banking 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. The Global Banking Advisory Compliance Team is part of the Ethics and Compliance Department. Under Global Banking Americas, Compliance provides advisory coverage and challenge for various businesses and products across the Firm. 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. Responsibilities: The candidate will be responsible for providing compliance coverage to the Firm's IB business while also working closely with colleagues with primary responsibility for Risk Assessments, Control Room, Financial Security, and Equity Research, in addition to coordinating with colleagues of foreign affiliates on cross-border initiatives/activities. The candidate will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State and Federal banking regulations as well as FINRA Rules, including but not limited to, FINRA Rules 2210, 3110, 2111, and 2010. The Compliance Advisor will provide advice and support on matters pertaining to various compliance-related topics including, but not limited to, internal policies, customer due diligence, internal control procedures, business-line risk assessments, transaction reviews, and annual and specialized training. The Compliance Advisor will: - 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. - 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. - Contribute to the preparation of Compliance reports for Compliance Management, Senior Management, Executive Committees, and Risk Committees etc. as required. - Assist providing advice on new products, services and business activities in connection with the firms New Activity/New Transaction process. - Review marketing materials and communications. - Draft and updateCompliance-owned and business policies and procedures, including assessing for current and new regulatory requirements, and implementing/remediating gaps in existing 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. - Provide clear advice and challenge to the Business and Functions on regulatory topics that impact the Firm. - Assist in implementation of changes in regulations pertaining to bank regulatory environment, and the applicability to GBA IB businesses, including articulation of the practicable implications of those changes to the business and advising management on any required changes to policies and procedures. - Perform assessment of banking activities in accordance with Regulation W restrictions on transactions with affiliates. - Perform transactional assessments in relation to internal policies, including Corporate Social Responsibility ("CSR"). - Assist with coordinating and preparing for Internal Audit reviews, Compliance Testing reviews, and regulatory examinations and inquiries. - Assist the Head of Global Banking Compliance with providing direct Compliance advisory to Global Banking Capital Markets businesses. Minimum Required Qualifications: - 15 plus years Compliance/ Regulatory experience in a wholesale banking / broker dealer environment. - In-depth knowledge of general State and Federal banking regulations that apply to a US Branch of a foreign bank. - Direct hands-on knowledge of Global Banking Capital Markets products/activities, including Leveraged Finance, Project Finance, Investment Grade Finance, Tax equity, Commercial Real Estate, and Fund Financing, - Ability to apply, and advise on, new and existing regulations to the businesses and operations of BNPP. - Experience with bank examinations and a familiarity with the Board of Governors FBO Examination Manual. - Strong organizational skills, ability to write and speak articulately and concisely. - 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. - Demonstrated ability and experience in conducting training for bank staff engaged in a variety of business activities. - Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment. Preferred Qualifications: - English required - French language skills a plus FINRA Registrations Required: - Not Applicable CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required): - Not Applicable SEC Security-Based Swap Dealer Associated Person: - Not Applicable While the description above describes our ideal candidate, we encourage applicants to apply even if they do not fully meet the complete list of qualifications noted. The expected starting salary range for this position is between $160,000 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.