Job Description

Business Overview:

CIB Americas Operations mission is to be a valued PARTNER to our internal and external clients, providing the highest quality support and levels of customer service
Operations is charged with TRANSFORMING the operational platform and instilling a culture of continuous improvement
Operations is committed to the BNP Paribas CODE of CONDUCT and takes pride in the professional and respectful execution of its responsibilities

*Physical presence in BNPP’s office(s) is an essential function of this position. BNPP requires all of our employees to be vaccinated in order to access its offices, subject to reasonable accommodations for reasons related to disability or religion. This role has the flexibility of being hybrid, consisting of an in office and remote working component.

The expected starting salary range for this position in New York is between $168k to $216 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.

CANDIDATE SUCCESS FACTORS:

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

Results and Impact

Impacts division and influences peers and team
Demonstrates good judgement when making decisions of high complexity and impact
Relies on limited guidance for most complex decision making
Is responsible for driving outcomes which have meaningful effect on team or department

Leadership and Collaboration

Creates trust with department leaders
Acts in leadership capacity for large projects, processes, or programs for a team

Client, Customer and Stakeholder Focus

Able to build relationships with a mix of intermediate and senior colleagues or clients
Interacts regularly with management and department leaders
Demonstrates the ability to persuade and 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:

Responsible to transform the Americas KYC platform and to engage at all levels of management internally in developing operational efficiency and improving the level of service to the external client.  This senior Operations role is charged with:

Production

Foster a mindset of excellent and exemplary client service, encouraging positive and “can do” attitude among the platform
Provide adequate managerial support and guidance to production teams to ensure production targets for recertification and on-boarding are consistently met throughout the year
Ensure that KYC quality targets are reached, both for new on boarding and recertification
Ensure that KPIs to track volumes/WIP/Backlogs are in place and consistent
Manage escalations/complaints raised by team managers/member and external/internal clients
Jointly with E2E Coordination team, regularly meet Front Office stakeholders (GMA, GBA, FIC) to ensure KYC on-boarding and recertification process is as efficient as possible and meets their expectations, but also to understand their as well as clients’ needs/expectations and to develop a strong working relationship

Operational Risk, Governance and control framework

Ensure that MIs and KRIs are regularly reviewed and utilized to identify risks, issues and future priorities; together with action plans to prevent risks arising
Ensure that group and/or local requirements/policies are implemented as per target dates and anticipate/escalate issues stemming from such implementations
Identify, address and follow-up new regulatory requirements impacting his remit and ensure timely implementation
Maintain at all-time an adequate and effective ongoing oversight of outsourced arrangements:

Clear oversight, challenge, ownership and full understanding of all the services provided to Amer KYC Operations by the services centers across India and Canada;
Reporting, escalation of incidents;
monitoring performance, escalation of risks and issues, and required execution of any local compensating controls/mitigation;
Full ownership of the risks and associated controls of each of those services

This will need to be demonstrated by regular team governance forums, clear MI, regular risk assessments and documented escalation processes

Ensure a robust and relevant BCP is in place and maintained up to date

Ensure the team’s roles and responsibilities are regularly reviewed to meet the continually evolving its new challenges in line with CEP KYC Operations and the wider CIB strategies. This will require (amongst other things):

Full alignment with the global functions the different teams within KYC Operations support. Such alignment will make sure that any project impacting AMER is well identified, risk-assessed and any specific needs or impacts for the Region are well considered in the execution plans;
Work with AMER Operations management and Central CEP teams to define and deliver the strategic plans for KYC Operations, including monitoring progress and delivery deadlines

Operates with long term strategic vision, but also adept at deploying short term tactical solutions. Relationship builder who can partner with internal auditors and regulators to drive appropriate governance, risk, and compliance frameworks and programs and take us to a “well managed”  position with DFS , FRBNY , and broker dealer agencies (FINRA/CFTC etc)

MINIMUM REQUIRED QUALIFICATIONS:

Competencies

Expert in KYC matters with strong understanding of key Compliance issues (KYC / AML / CTF) linked to client relationships and strong knowledge of the regulatory requirements on KYC/AML/CFT/MiFID/FATCA
Deep knowledge and understanding of CIB KYC Procedures

Skills

Strong interpersonal skills
Excellent verbal, presentation and written communication skills
Ability to defend opinion and proposals to target a specific and challenging audience
Ability to motivate and lead the platform, ability to work within resource constraints
Assertiveness (decision making) and capability to drive changes
Excellent analytical and problem solving skill
Ability to efficiently manage time and priorities
Client oriented

Conduct

Be a role model, supporting and fostering a culture of good conduct
Demonstrate proactivity, transparency and accountability for identifying and managing conduct risks
Consider the implications of your actions on colleagues, partners and clients before making decisions, and escalate issues to your manager when unsure.
Take responsibility for your team’s conduct and conduct risks.

FINRA REGISTRATIONS REQUIRED:

Series 99 (or obtained within 120 days)

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

Not Applicable