Job Description

Business Overview:

The Conduct & Regulatory Oversight team is part of the organization of the Chief Conduct and Control Officer of BNPP USA and CIB Americas and is responsible for 1) Conduct Investigations, 2) Conduct Programming and 3) Regulatory Oversight. The Conduct Investigations team is responsible for driving 1LOD-led Conduct investigations (Market Integrity, Protection of Interest of Clients, Professional Ethics and Rogue Trading) and managing regional misconduct governance and reporting. 

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: 

Accountable for driving 1LOD-led investigations related to individual misconduct in the AMER region, covering cases within Market Integrity, Protection of Interest of Clients, Professional Ethics, and Rogue Trading domains.

Perform preliminary analysis on escalated conduct cases and define investigation strategy and approach
Lead interviews with all involved stakeholders for a given investigation
Discuss preliminary conclusions with others (e.g., RISK ORM, Compliance, HR) to finalize recommendations
Accountable for Investigation Report; review, update and finalize draft and circulate with relevant stakeholders for review prior to the appropriate governance
Maintain strong relationship with Legal, and request advisory support, as needed

Manage regional misconduct governance

Present cases to regional governance, including Conduct Escalation Committees and/or Disciplinary Committees 
Drive discussion of cases with key subject matter experts, management, and functions (including HR) to conclude on severity of breaches, and the appropriate response and/or discipline, if needed
Accountable for tracking of all raised cases and reporting on facts and figures both 1) within the region and 2) to global CCCO stakeholders

Lead Regional Read-Across for any Significant case escalated to Conduct Escalation Group and Read-Across Committee 

Minimum Required Qualifications:

10+ years of relevant industry experience, in a Compliance, Legal, Regulatory, Management Consulting, or Project delivery role 
Very strong communication, presentation and public speaking skills, demonstrating experience presenting at the executive management level
Strong organizational skills and command of management level reporting 
Ability to understand the various businesses across the platform, and understand key conduct considerations specific to the business
Experience managing a team
Ability to coordinate across multiple stakeholders and business lines and functions and build a network of key contacts
Familiarity with the regulatory environment and regulatory bodies and understanding of banking regulations 
Proficiency with PowerPoint, Excel, and formal business writing

Preferred Qualifications: 

Experience leading investigations and/or audit/compliance reviews

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