COMPLIANCE AND OPERATIONAL RISK OVERSIGHT OFFICER recruitment

BNPP IP offers a diverse range of investment management strategies to institutional clients in the U.S. through our affiliates, including BNP Paribas Asset Management, Fortis Investments and Fischer Francis Trees Watts. Our clients include corporations, pension plans, insurance companies, foundations, endowments, central banks, official institutions and mutual fund advisors. In the U.S. we have offices in Boston, Chicago, New Jersey and New York. We have an excellent career opportunity for a Compliance and Operational Risk Oversight Officer in our New York City office. This individual will be responsible for assisting the Chief Compliance Officer (“CCO”) in various regulatory compliance and operational risk matters. This is a senior role requiring full participation in maintaining, updating and developing firm wide compliance policies and programs and tracking regulatory developments. 

Specific Responsibilities:

• Prepare, maintain and update compliance policies and procedures for BNPP IP North America.

• Identify operational risk within BNPP IP North America and ensure such risks are effectively mitigated with appropriate controls.

• Roll out and maintain the operational risk oversight program for BNPP IP North America, according to BNP Paribas group policies and standards.

• Review new regulations for impact to BNPP IP North America.

• Prepare and maintain Form ADV Parts 1, 2A and 2B filings with the SEC for various BNPP IP entities.

• Prepare regulatory filings for the SEC and other regulators.

• Assist the CCO with regulatory requests and responses.

• Manage internal regulatory compliance and operational risk reporting program to European based parent.

• Act as liaison with central regulatory compliance and operational risk teams located in Europe.

• Review marketing materials, including RFPs, DDQs and presentations.

• Coordinate audit preparation and document production.

• Independently manage process of routine compliance.

Ideal Personal Profile:

• Strong interpersonal skills and comfortable working in a fast-paced, high energy environment that is deadline driven and detail-oriented.

• Exceptional verbal and written communication skills.

• Works well under pressure.  Candidate will be strong team player, self-motivated, and industrious.

• Flexible but effective time manager who is able to prioritize responsibilities, manage several simultaneous projects from inception to completion.

• An individual of unquestionable integrity who would be an excellent representative of the firm on both a personal and professional basis and who has the ability to exercise discretion when handling confidential information.

Academic Background and Experience:

• An advanced degree in Finance, Business or Accounting with excellent academic credentials.  CPA or CFA or recognized compliance qualification would be a plus.

• 5-7 years professional experience in compliance or risk management in the financial services industry, preferably at a SEC registered investment adviser or at a recognized consulting firm specializing in Advisers Act compliance services.

• Strong computer skills; with advanced skills in Excel.

• Proficiency in French a plus, but not required.

This position offers an excellent benefits and compensation package. To be considered for this opportunity, please forward your resume utilizing the online application process.  Equal Opportunity Employer.